DFX Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
C••• A••• H••••••
As of · the IAPD feed
- At current firm
- 4 y
- In the industry
- 10 y
- Prior registered firms
- 1
- Signals
- 1
since Aug 12, 2022
As of · the IAPD feed
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Registration history
IAPD current and previous registrations
- C••••••••• F•••••••• N•••••• national BD currentsince Aug 12, 2022 · Waltham, Ma
- E••••• J•••• national BDMay 16, 2016 to Aug 15, 2022 · Linville, Nc
Moves
a registration end followed by a registration begin elsewhere
- E••••• J•••• to C••••••••• F•••••••• N••••••left Aug 15, 2022, registered Aug 12, 2022 (-3 days) · Affiliated broker-dealer or bank to another
Signals
- ••• LockedAug 15, 2022 · Advisor changed firm · fact
Transition signals
No combined mobility score is published yet. The signals above are on record, each with its own history and base rate.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- National broker-dealer RIAderived
- Years in industry
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address