DFX Intelligence
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Registered advisor
D••••• T•••• H••••
Feed of 09/14/2026
Also filed as D••••• T•••• H••••
At current firm
1 y
since Nov 27, 2024
In the industry
14 y
since Feb 1, 2012 (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
3
dated events on this person
Registration history
IAPD current and previous registrations
- L•• F•••••••• L•• BD affiliated currentsince Nov 27, 2024 · St. Cloud, Mn
- F••••••• P••••••• A•• W•••••••• A••••••• formerApr 24, 2023 to Sep 4, 2024 · Sauk Rapids, Mn
- A••••••••• F•••••••• S•••••••• L•• national BDSep 21, 2022 to Dec 22, 2022 · Minneapolis, Mn
Moves
a registration end followed by a registration begin elsewhere
- F••••••• P••••••• A•• W•••••••• A••••••• to L•• F•••••••• L••left Sep 4, 2024, registered Nov 27, 2024 (84 days) · Affiliated broker-dealer or bank to another
- A••••••••• F•••••••• S•••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Dec 22, 2022, registered Apr 24, 2023 (123 days) · Affiliated broker-dealer or bank to another
Signals
- D••••• T•••• H•••• no longer holds an investment adviser registration (last listed at L•• F•••••••• L•• on the 2026-09-18 feed)Sep 18, 2026 · Advisor registration ended · derived
- D••••• T•••• H•••• left F••••••• P••••••• A•• W•••••••• A••••••• for L•• F•••••••• L•• (registered 2024-11-27)Sep 4, 2024 · Advisor changed firm · fact
- D••••• T•••• H•••• left A••••••••• F•••••••• S•••••••• L•• for F••••••• P••••••• A•• W•••••••• A••••••• (registered 2023-04-24)Dec 22, 2022 · Advisor changed firm · fact
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
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address