DFX Intelligence
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Feed of 09/14/2026
Also filed as L••••••• L••
At current firm
2 y
since Jul 5, 2024
In the industry
11 y
since May 1, 2015 (earliest exam, job or registration)
Prior registered firms
2
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
- H•• W••••• A••••••• I••• state registered currentsince Jul 5, 2024 · Flushing, Ny
- C••••• I••••••••• A••••••• L•• BD affiliatedJan 10, 2024 to Jun 21, 2024 · New York City, Ny
- H•• W••••• A••••••• I••• state registeredAug 7, 2023 to Dec 31, 2023 · Flushing, Ny
Moves
a registration end followed by a registration begin elsewhere
- C••••• I••••••••• A••••••• L•• to H•• W••••• A••••••• I•••left Jun 21, 2024, registered Jul 5, 2024 (14 days) · Affiliated broker-dealer or bank to a state-registered adviser
- H•• W••••• A••••••• I••• to C••••• I••••••••• A••••••• L••left Dec 31, 2023, registered Jan 10, 2024 (10 days) · Other
Signals
- ••• LockedJun 21, 2024 · Advisor changed firm · fact
- ••• LockedDec 31, 2023 · Advisor changed firm · fact
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- STATE REGISTEREDderived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address