RIA Intelligence
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K•••• H••••• H••••
- Title
- SENIOR COMPLIANCE OFFICERreportedonepointbfg.comfirm site, Sep 15, 2026
Only business contact points the firm published under its own name are shown; nothing is inferred, and personal accounts are never read. What the bio page says is printed as the firm printed it, with the sentence it came from; years are the firm’s claim, not a count of registrations.
- O••••••• B•• W••••• P••••••• independent RIA currentsince Feb 27, 2025 · Parsippany, Nj
- O•••• W•••••• I••• BD affiliatedJan 24, 2025 to Feb 21, 2025 · Scottsdale, Az
- O•••• F•• I••• formerMar 31, 2017 to Jan 24, 2025 · Philadelphia, Pa
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 23, 2009 to Mar 20, 2017 · Fairfield, Ct
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedDec 17, 2007 to Oct 23, 2009 · Hartford, Ct
- C••••••••• I••••••••• M••••••••• unclassifiedApr 12, 2007 to Jan 29, 2008 · Hartford, Ct
- N••••••••• I••••••••• I••• unclassifiedJan 19, 2005 to Apr 5, 2007 · New Haven, Ct
- O•••• W•••••• I••• to O••••••• B•• W••••• P•••••••left Feb 21, 2025, registered Feb 27, 2025 (6 days) · Affiliated broker-dealer or bank to independent RIA
- O•••• F•• I••• to O•••• W•••••• I•••left Jan 24, 2025, registered Jan 24, 2025 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to O•••• F•• I•••left Mar 20, 2017, registered Mar 31, 2017 (11 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 23, 2009, registered Oct 23, 2009 (0 days) · corporate re-registration, not a move
- C••••••••• I••••••••• M••••••••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Jan 29, 2008, registered Dec 17, 2007 (-43 days) · Other
- N••••••••• I••••••••• I••• to C••••••••• I••••••••• M•••••••••left Apr 5, 2007, registered Apr 12, 2007 (7 days) · Other
- K•••• H••••• H•••• left O•••• W•••••• I••• for O••••••• B•• W••••• P••••••• (registered 2025-02-27)Feb 21, 2025 · Advisor changed firm · fact
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.
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Independent wealth managerderived
- Years in industry
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address