DFX Intelligence
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Registered advisor
S•••••• H••••• M••••••
Feed of 09/14/2026
Also filed as T••• H••••• M••••••••• H••••• M••••••••• M••••••
At current firm
5 y
since Jan 1, 2021
In the industry
13 y
since May 28, 2013 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S65, S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- N••••• A•••• M••••••••• L•• mixed wealth currentsince Jan 1, 2021 · Chicago, Il
- M••••• S•••••• wirehouseNov 20, 2013 to Apr 7, 2015 · New York, Ny
- U•• F•••••••• S••••••• I••• wirehouseMay 29, 2013 to Nov 11, 2013 · Weehawken, Nj
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• to N••••• A•••• M••••••••• L••left Apr 7, 2015, registered Jan 1, 2021 (2096 days) · Wirehouse to independent RIA
- U•• F•••••••• S••••••• I••• to M••••• S••••••left Nov 11, 2013, registered Nov 20, 2013 (9 days) · Wirehouse to wirehouse
Signals
No dated event on this person.
Transition signalsWhat these will draw onThe observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves.Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Wealth manager with institutional or fund businessderived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address