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.
Registered advisor
Herbert Lyman Ormond
Feed of 09/14/2026
Also filed as Herb Ormond
At current firm
5 y
since Jun 28, 2021
In the industry
40 y
since Aug 14, 1986 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
2
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
- H. L. Ormond & Company, LLC independent RIA currentsince Jun 28, 2021 · Greenville, Nc
- Raymond James Financial Services Advisors, Inc BD affiliatedFeb 4, 2011 to Jun 22, 2021 · Greenville, Nc
- Stifel, Nicolaus & Company, Incorporated national BDApr 17, 2009 to Feb 4, 2011 · Greenville, Nc
- Wells Fargo Advisors wirehouseJan 1, 2008 to Apr 21, 2009 · Greenville, Nc
- A. G. Edwards & Sons, Inc. unclassifiedMar 25, 2004 to Jan 1, 2008 · Greenville, Nc
Moves
a registration end followed by a registration begin elsewhere
- Raymond James Financial Services Advisors, Inc to H. L. Ormond & Company, LLCleft Jun 22, 2021, registered Jun 28, 2021 (6 days) · Affiliated broker-dealer or bank to a newly registered adviser · moved with a team
- Stifel, Nicolaus & Company, Incorporated to Raymond James Financial Services Advisors, Incleft Feb 4, 2011, registered Feb 4, 2011 (0 days) · Other
- Wells Fargo Advisors to Stifel, Nicolaus & Company, Incorporatedleft Apr 21, 2009, registered Apr 17, 2009 (-4 days) · Wirehouse to affiliated broker-dealer or bank
- A. G. Edwards & Sons, Inc. to Wells Fargo Advisorsleft Jan 1, 2008, registered Jan 1, 2008 (0 days) · corporate re-registration, not a move
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
- 40derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address