DFX Intelligence
RIA Intelligence
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Registered advisor
G••• S••••• H•••••
Feed of 09/15/2026
At current firm
7 y
since Nov 19, 2018
In the industry
42 y
since Mar 16, 1984 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
5
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- J••••• M••••••••• S•••• L•• BD affiliated currentsince Nov 19, 2018 · Parkland, Fl
- R•• C•••••• M••••••• L•• national BDNov 18, 2005 to Nov 19, 2018 · Hartford, Ct
- A•••••• I••• unclassifiedJul 22, 1991 to Dec 14, 2005 · Glastonbury, Ct
Moves
a registration end followed by a registration begin elsewhere
- R•• C•••••• M••••••• L•• to J••••• M••••••••• S•••• L••left Nov 19, 2018, registered Nov 19, 2018 (0 days) · Affiliated broker-dealer or bank to another
- A•••••• I••• to R•• C•••••• M••••••• L••left Dec 14, 2005, registered Nov 18, 2005 (-26 days) · Other
Signals
No dated event on this person.
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 42derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address