DFX Intelligence
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Feed of 09/14/2026
Also filed as Y••••• H••••••••
At current firm
5 y
since Mar 25, 2021
In the industry
13 y
since Apr 10, 2013 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
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
- M••••• S•••••• wirehouse currentsince Mar 25, 2021 · Miami, Fl
- C•••••••• G••••• M•••••• I••• BD affiliatedAug 15, 2016 to Mar 4, 2021 · Miami, Fl
- H••• S••••••••• •••• I••• BD affiliatedJan 13, 2014 to Aug 19, 2016 · Miami, Fl
- W•••• F•••• A••••••• wirehouseMay 16, 2013 to Nov 11, 2013 · Miami, Fl
Moves
a registration end followed by a registration begin elsewhere
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Mar 4, 2021, registered Mar 25, 2021 (21 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
- H••• S••••••••• •••• I••• to C•••••••• G••••• M•••••• I•••left Aug 19, 2016, registered Aug 15, 2016 (-4 days) · Other
- W•••• F•••• A••••••• to H••• S••••••••• •••• I•••left Nov 11, 2013, registered Jan 13, 2014 (63 days) · Other
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet. The 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.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Wirehousederived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address