DFX Intelligence
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Registered advisor
H••••• F•••••
Certified Financial Planner
Feed of 09/15/2026
Also filed as H••••• S••••••••• F••••••••• C•••••••• F•••••
At current firm
2 y
since Nov 22, 2023
In the industry
14 y
since Sep 1, 2012 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- J••• M••••• S••••••••• L•• wirehouse currentsince Nov 22, 2023 · Portland, Or
- J••• M••••• P•••••• W••••• A••••••• L•• formerMar 5, 2019 to Mar 21, 2025 · Portland, Or
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseApr 15, 2014 to Jan 9, 2018 · Minneapolis, Mn
Moves
a registration end followed by a registration begin elsewhere
- J••• M••••• P•••••• W••••• A••••••• L•• to J••• M••••• S••••••••• L••left Mar 21, 2025, registered Nov 22, 2023 (-485 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to J••• M••••• P•••••• W••••• A••••••• L••left Jan 9, 2018, registered Mar 5, 2019 (420 days) · Wirehouse to independent RIA
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Wirehousederived
- Years in industry
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address