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••••• A•• S•••••••

N•••••• A•••••••BD affiliatedDallas, Tx dual registrantIAPD 1386566

Feed of 09/14/2026

At current firm

2 y

since Sep 18, 2024

In the industry

40 y

since Jul 18, 1986 (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

N•••••• A••••••• BD affiliated current
since Sep 18, 2024 · Dallas, Tx
O•••• W•••••• I••• BD affiliated
Nov 3, 2023 to Sep 20, 2024 · Dallas, Tx
F•• S••••••••• C••••••••• former
Oct 25, 2013 to Nov 3, 2023 · Atlanta, Ga
B•••••• W••••• A•••••••• L•• unclassified
Jun 19, 2013 to Dec 4, 2013 · Frisco, Tx
E•• I••••••••• A•••••• C••••••••• unclassified
Oct 2, 2008 to Dec 31, 2010 · Irving, Tx

Moves

a registration end followed by a registration begin elsewhere

O•••• W•••••• I••• to N•••••• A•••••••
left Sep 20, 2024, registered Sep 18, 2024 (-2 days) · Affiliated broker-dealer or bank to another · moved with a team
F•• S••••••••• C••••••••• to O•••• W•••••• I•••
left Nov 3, 2023, registered Nov 3, 2023 (0 days) · corporate re-registration, not a move
B•••••• W••••• A•••••••• L•• to F•• S••••••••• C•••••••••
left Dec 4, 2013, registered Oct 25, 2013 (-40 days) · Other
E•• I••••••••• A•••••• C••••••••• to B•••••• W••••• A•••••••• L••
left Dec 31, 2010, registered Jun 19, 2013 (901 days) · Other

Signals

H••••• A•• S••••••• left O•••• W•••••• I••• for N•••••• A••••••• (registered 2024-09-18)
Sep 20, 2024 · a•••••• firm change · 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: 40derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address