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

J••• T••••• H••••

K••••• A••••••• S•••••••• L••BD affiliatedAustin, Tx dual registrantIAPD 1713313

Feed of 09/15/2026

Also filed as Tom H••••

At current firm

1 y

since Oct 1, 2024

In the industry

39 y

since Sep 1, 1987 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

K••••• A••••••• S•••••••• L•• BD affiliated current
since Oct 1, 2024 · Austin, Tx
B• R•••• W••••• A•••••••• I••• BD affiliated
May 18, 2004 to Oct 30, 2024 · Boca Raton, Fl
S••••• F•••••••• G•••• I•• former
Feb 5, 2003 to Feb 19, 2004 · Boca Raton, Fl
W•••• F•••• A••••••• wirehouse
Jan 2, 2001 to Feb 18, 2003 · Boca Raton, Fl

Moves

a registration end followed by a registration begin elsewhere

B• R•••• W••••• A•••••••• I••• to K••••• A••••••• S•••••••• L••
left Oct 30, 2024, registered Oct 1, 2024 (-29 days) · Affiliated broker-dealer or bank to another · moved with a team
S••••• F•••••••• G•••• I•• to B• R•••• W••••• A•••••••• I•••
left Feb 19, 2004, registered May 18, 2004 (89 days) · Other
W•••• F•••• A••••••• to S••••• F•••••••• G•••• I••
left Feb 18, 2003, registered Feb 5, 2003 (-13 days) · Other

Signals

J••• T••••• H•••• left B• R•••• W••••• A•••••••• I••• for K••••• A••••••• S•••••••• L•• (registered 2024-10-01)
Oct 30, 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: 39derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address