DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Registered advisor

H••• K••• H••••

C•••••••• I••••••••• R••••••• A•••••••• I•••BD affiliatedGrand Ledge, Mi dual registrantIAPD 1097545

Chartered Financial Consultant

Feed of 09/14/2026

Also filed as H K••• H••••

At current firm

1 y

since Dec 16, 2024

In the industry

41 y

since May 4, 1985 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated current
since Dec 16, 2024 · Hillsdale, Mi
R•••• I••••••••• A••••••• L•• BD affiliated
Feb 2, 2011 to Dec 23, 2024 · Rockford, Il
A••••••• P••••••••• A•••••••• I•• former
May 18, 2010 to Mar 7, 2011 · Holbrook, Ny
S•••••••• F••••••••• I••• former
Jul 24, 2007 to Mar 25, 2010 · Rockford, Il
K•••• F•••••••• A•••• A•••••••• L••• independent RIA
Aug 2, 2003 to Feb 2, 2007 · Rockford, Il
I••••••••• A••••••• S••••••• I•• former
Mar 14, 2003 to Feb 15, 2007 · Rockford, Il
T••••••• I••••••••• M••••••••• I••• BD affiliated
Aug 5, 2002 to Mar 4, 2003 · Rockford, Il
L••••••• B••••••••• S••••••••• C•••• unclassified
Feb 22, 2001 to Aug 5, 2002 · Rockford, Il

Moves

a registration end followed by a registration begin elsewhere

R•••• I••••••••• A••••••• L•• to C•••••••• I••••••••• R••••••• A•••••••• I•••
left Dec 23, 2024, registered Dec 16, 2024 (-7 days) · Affiliated broker-dealer or bank to another · moved with a team
A••••••• P••••••••• A•••••••• I•• to R•••• I••••••••• A••••••• L••
left Mar 7, 2011, registered Feb 2, 2011 (-33 days) · Other
S•••••••• F••••••••• I••• to A••••••• P••••••••• A•••••••• I••
left Mar 25, 2010, registered May 18, 2010 (54 days) · Other
I••••••••• A••••••• S••••••• I•• to K•••• F•••••••• A•••• A•••••••• L•••
left Feb 15, 2007, registered Aug 2, 2003 (-1293 days) · Other
K•••• F•••••••• A•••• A•••••••• L••• to S•••••••• F••••••••• I•••
left Feb 2, 2007, registered Jul 24, 2007 (172 days) · Other
T••••••• I••••••••• M••••••••• I••• to I••••••••• A••••••• S••••••• I••
left Mar 4, 2003, registered Mar 14, 2003 (10 days) · Other
L••••••• B••••••••• S••••••••• C•••• to T••••••• I••••••••• M••••••••• I•••
left Aug 5, 2002, registered Aug 5, 2002 (0 days) · Other

Signals

H••• K••• H•••• left R•••• I••••••••• A••••••• L•• for C•••••••• I••••••••• R••••••• A•••••••• I••• (registered 2024-12-16)
Dec 23, 2024 · 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: 41derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address