DFX Intelligence
RIA Intelligence
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Registered advisor
S•••• W••••• H••••••
Feed of 09/14/2026
At current firm
14 y
since Mar 7, 2012
In the industry
44 y
since Apr 21, 1982 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
3
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- O•• C•••••• A••••••• independent RIA currentsince Mar 7, 2012 · Dallas, Tx
- M•••• H••• C•••••• M••••••••• unclassifiedJul 2, 2003 to Jul 1, 2004 · Norwich, Vt
- U•• A•••• M••••••••• ••• I••• unclassifiedJul 30, 2002 to Mar 4, 2003 · West Lebanon, Nh
Moves
a registration end followed by a registration begin elsewhere
- M•••• H••• C•••••• M••••••••• to O•• C•••••• A•••••••left Jul 1, 2004, registered Mar 7, 2012 (2806 days) · Other
- U•• A•••• M••••••••• ••• I••• to M•••• H••• C•••••• M•••••••••left Mar 4, 2003, registered Jul 2, 2003 (120 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
- Independent wealth managerderived
- Years in industry
- 44derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address