DFX Intelligence
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Registered advisor
B•••• G• H•••••••
Feed of 09/14/2026
Also filed as B•••• H••••••••• G•••••• H••••••••• G• H•••••••
At current firm
1 y
since Mar 31, 2025
In the industry
11 y
since Aug 11, 2015 (earliest exam, job or registration)
Prior registered firms
5
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
1
dated events on this person
Registration history
IAPD current and previous registrations
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Austin, Tx
- F••••••• P••••••• A•• W•••••••• A••••••• formerApr 25, 2023 to Mar 31, 2025 · Austin, Tx
- V••••••• A•••••••• I••• BD affiliatedFeb 17, 2021 to Feb 14, 2023 · Charlotte, Nc
- W•••• F•••• A••••••• wirehouseAug 7, 2017 to Jan 13, 2021 · Marlton, Nj
- P•• W••••• M••••••••• BD affiliatedAug 1, 2016 to Jul 19, 2017 · Mt. Laurel, Nj
- W•••• F•••• A••••••• wirehouseSep 4, 2015 to Jul 7, 2016 · Cary, Nc
Moves
a registration end followed by a registration begin elsewhere
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- V••••••• A•••••••• I••• to F••••••• P••••••• A•• W•••••••• A•••••••left Feb 14, 2023, registered Apr 25, 2023 (70 days) · Affiliated broker-dealer or bank to another
- W•••• F•••• A••••••• to V••••••• A•••••••• I•••left Jan 13, 2021, registered Feb 17, 2021 (35 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- P•• W••••• M••••••••• to W•••• F•••• A•••••••left Jul 19, 2017, registered Aug 7, 2017 (19 days) · Other
- W•••• F•••• A••••••• to P•• W••••• M•••••••••left Jul 7, 2016, registered Aug 1, 2016 (25 days) · Other
Signals
- ••• LockedFeb 14, 2023 · Advisor changed firm · fact
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
- National broker-dealer RIAderived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address