DFX Intelligence
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Registered advisor
H•••••• N••••••••• J••••••••• S•
Feed of 09/14/2026
Also filed as H•••••• J••••••••• J••••••••• J••••••••• S••••••••• N••••••••• J••••••••• S••••••••• N••••••••• J••••••••• S••••••••• A••••••••• N••••••••• J••••••••• S••••••••• N••••••••• J••••••••• S••••••••• N• J••••••••• S••••••••• N• J•••••••••
At current firm
0 y
since Dec 1, 2025
In the industry
10 y
since Oct 1, 2015 (earliest exam, job or registration)
Prior registered firms
4
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
3
dated events on this person
Registration history
IAPD current and previous registrations
- M••••• S•••••• wirehouse currentsince Dec 1, 2025 · Menlo Park, Ca
- S•••••••• A••••••• L•• national BDMar 31, 2025 to Dec 1, 2025 · Mountain View, Ca
- F••••••• P••••••• A•• W•••••••• A••••••• formerApr 25, 2023 to Mar 31, 2025 · Mountain View, Ca
- J••• M••••• S••••••••• L•• wirehouseJul 20, 2022 to Apr 1, 2023 · Sunnyvale, Ca
- W•••• F•••• A••••••• wirehouseDec 22, 2021 to Jul 21, 2022 · Mountain View, Ca
Moves
a registration end followed by a registration begin elsewhere
- S•••••••• A••••••• L•• to M••••• S••••••left Dec 1, 2025, registered Dec 1, 2025 (0 days) · Affiliated broker-dealer or bank to wirehouse
- 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
- J••• M••••• S••••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Apr 1, 2023, registered Apr 25, 2023 (24 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- W•••• F•••• A••••••• to J••• M••••• S••••••••• L••left Jul 21, 2022, registered Jul 20, 2022 (-1 days) · Wirehouse to wirehouse · moved with a team
Signals
- ••• LockedDec 1, 2025 · Advisor changed firm · fact
- ••• LockedApr 1, 2023 · Advisor changed firm · fact
- ••• LockedJul 21, 2022 · 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
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address