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

R••••• F•••• H•••••

P•••••• A•••••• G••••• L••BD affiliatedMorristown, Nj dual registrantIAPD 1426713

Chartered Financial Consultant

Feed of 09/15/2026

At current firm

5 y

since Jul 6, 2021

In the industry

40 y

since Jan 2, 1986 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

P•••••• A•••••• G••••• L•• BD affiliated current
since Jul 6, 2021 · Carrollton, Tx
A•••••• R••••••• C•••••• independent RIA
Feb 10, 2015 to Aug 16, 2021 · Carrolton, Tx
C••••••• F•••••••• D••••••• I••• BD affiliated
May 12, 2010 to Mar 30, 2012 · Carrolton, Tx
C••••• • B•••• S••••••••• I••• unclassified
Jun 2, 2006 to May 17, 2010 · Carrollton, Tx
G•••••••• F••••••••• I•• unclassified
Aug 15, 2005 to Jun 9, 2006 · Addison, Tx
T••••••••• F•••••••• A•••••••• L•• BD affiliated
May 3, 1999 to Aug 4, 2005 · Carrollton, Tx

Moves

a registration end followed by a registration begin elsewhere

A•••••• R••••••• C•••••• to P•••••• A•••••• G••••• L••
left Aug 16, 2021, registered Jul 6, 2021 (-41 days) · Affiliated broker-dealer or bank to another
C••••••• F•••••••• D••••••• I••• to A•••••• R••••••• C••••••
left Mar 30, 2012, registered Feb 10, 2015 (1047 days) · Other
C••••• • B•••• S••••••••• I••• to C••••••• F•••••••• D••••••• I•••
left May 17, 2010, registered May 12, 2010 (-5 days) · Other
G•••••••• F••••••••• I•• to C••••• • B•••• S••••••••• I•••
left Jun 9, 2006, registered Jun 2, 2006 (-7 days) · Other
T••••••••• F•••••••• A•••••••• L•• to G•••••••• F••••••••• I••
left Aug 4, 2005, registered Aug 15, 2005 (11 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: 40derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address