DFX Intelligence
RIA Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Registered advisor
S••••• L•• H•••
Feed of 09/14/2026
Also filed as S••••• L•• H•••
At current firm
4 y
since Mar 7, 2022
In the industry
32 y
since Jul 28, 1994 (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, S65
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Mar 7, 2022 · Omaha, Ne
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedJun 19, 2017 to Mar 8, 2022 · Omaha, Ne
- C••••• I••••••••• A••••••• L•• BD affiliatedJan 21, 2014 to Jun 13, 2017 · Omaha, Ne
- C••••• I••••••••• S••••••• L•• formerJun 30, 2011 to Jan 21, 2014 · Omaha, Ne
- S••••••• C••••••• L•• unclassifiedOct 31, 2003 to Jun 28, 2011 · Omaha, Ne
Moves
a registration end followed by a registration begin elsewhere
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to A••••••••• F•••••••• S•••••••• L••left Mar 8, 2022, registered Mar 7, 2022 (-1 days) · Affiliated broker-dealer or bank to another
- C••••• I••••••••• A••••••• L•• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Jun 13, 2017, registered Jun 19, 2017 (6 days) · Other · moved with a team
- C••••• I••••••••• S••••••• L•• to C••••• I••••••••• A••••••• L••left Jan 21, 2014, registered Jan 21, 2014 (0 days) · corporate re-registration, not a move
- S••••••• C••••••• L•• to C••••• I••••••••• S••••••• L••left Jun 28, 2011, registered Jun 30, 2011 (2 days) · Other
Signals
- S••••• L•• H••• left R•••••• J•••• F•••••••• S••••••• A•••••••• I•• for A••••••••• F•••••••• S•••••••• L•• (registered 2022-03-07)Mar 8, 2022 · 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
- National broker-dealer RIAderived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address