DFX Intelligence
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Registered advisor
H••••• C•••••••
Feed of 09/14/2026
At current firm
0 y
since Apr 16, 2026
In the industry
11 y
since Apr 1, 2015 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
2
dated events on this person
Registration history
IAPD current and previous registrations
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Apr 16, 2026 · Scottsdale, Az
- M••••• S•••••• wirehouseSep 12, 2023 to Feb 10, 2025 · Beverly Hills, Ca
- C••••• I••••••••• A••••••• L•• BD affiliatedJun 29, 2023 to Aug 30, 2023 · Los Angeles, Ca
- C••••• A•••••• N••••••• L•• formerJan 27, 2022 to Jun 29, 2023 · Los Angeles, Ca
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• to C••••• I••••••••• A••••••• L••left Feb 10, 2025, registered Apr 16, 2026 (430 days) · Wirehouse to affiliated broker-dealer or bank
- C••••• I••••••••• A••••••• L•• to M••••• S••••••left Aug 30, 2023, registered Sep 12, 2023 (13 days) · Affiliated broker-dealer or bank to wirehouse
- C••••• A•••••• N••••••• L•• to C••••• I••••••••• A••••••• L••left Jun 29, 2023, registered Jun 29, 2023 (0 days) · corporate re-registration, not a move
Signals
- ••• LockedFeb 10, 2025 · Advisor changed firm · fact
- ••• LockedAug 30, 2023 · Advisor changed firm · fact
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address