DFX Intelligence
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Registered advisor
H•••••• M••
Feed of 09/22/2026
Also filed as H•••••• E••• L••••••••• E• M••••••••• E••• M••
At current firm
0 y
since Sep 21, 2026
In the industry
13 y
since Oct 1, 2012 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
2
dated events on this person
Registration history
IAPD current and previous registrations
- U•• F•••••••• S••••••• I••• wirehouse currentsince Sep 21, 2026 · Sugar Land, Tx
- W•••• F•••• A••••••• wirehouseJun 14, 2021 to Sep 8, 2026 · San Antonio, Tx
- A••••••••• F•••••••• S•••••••• L•• national BDAug 19, 2020 to Jun 7, 2021 · Houston, Tx
- W•••• F•••• A••••••• wirehouseAug 13, 2014 to Oct 5, 2016 · St. Louis, Mo
- W•••• F•••• A••••••• wirehouseJan 1, 2013 to Aug 11, 2020 · St. Louis, Mo
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to U•• F•••••••• S••••••• I•••left Sep 8, 2026, registered Sep 21, 2026 (13 days) · Wirehouse to wirehouse
- A••••••••• F•••••••• S•••••••• L•• to W•••• F•••• A•••••••left Jun 7, 2021, registered Jun 14, 2021 (7 days) · Affiliated broker-dealer or bank to wirehouse
- W•••• F•••• A••••••• to W•••• F•••• A•••••••left Aug 11, 2020, registered Aug 13, 2014 (-2190 days) · channel change inside one enterprise, not a move
- W•••• F•••• A••••••• to A••••••••• F•••••••• S•••••••• L••left Oct 5, 2016, registered Aug 19, 2020 (1414 days) · Wirehouse to affiliated broker-dealer or bank
Signals
- ••• LockedSep 21, 2026 · Advisor registered · fact
- ••• LockedSep 8, 2026 · Advisor changed firm · fact
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
- Wirehousederived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address