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
T••••• J••••• H••••••
Feed of 09/14/2026
At current firm
3 y
since Sep 1, 2023
In the industry
43 y
since Jan 1, 1983 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- O•••• W•••••• I••• BD affiliated currentsince Sep 1, 2023 · Lancaster, Pa
- S•••••••• F••••••••• I••• formerApr 1, 2022 to Sep 1, 2023 · Lancaster, Pa
- S••••••• F•••••••• S•••••••• I••• formerJul 16, 2020 to Apr 6, 2022 · Lancaster, Pa
- P•••• S••••••••• L•• no RAUMMay 29, 2014 to Jan 30, 2020 · Newark, De
- A•••••• A••••••• S••••••• formerMar 27, 2014 to Apr 16, 2014 · Wilmington, De
- E•••••••• A•••••••• L•• national BDOct 2, 2007 to Mar 20, 2014 · Wilmington, De
Moves
a registration end followed by a registration begin elsewhere
- S•••••••• F••••••••• I••• to O•••• W•••••• I•••left Sep 1, 2023, registered Sep 1, 2023 (0 days) · corporate re-registration, not a move
- S••••••• F•••••••• S•••••••• I••• to S•••••••• F••••••••• I•••left Apr 6, 2022, registered Apr 1, 2022 (-5 days) · RIA to affiliated broker-dealer or bank · moved with a team
- P•••• S••••••••• L•• to S••••••• F•••••••• S•••••••• I•••left Jan 30, 2020, registered Jul 16, 2020 (168 days) · Affiliated broker-dealer or bank to another
- A•••••• A••••••• S••••••• to P•••• S••••••••• L••left Apr 16, 2014, registered May 29, 2014 (43 days) · Other
- E•••••••• A•••••••• L•• to A•••••• A••••••• S•••••••left Mar 20, 2014, registered Mar 27, 2014 (7 days) · Other
Signals
- T••••• J••••• H•••••• left S••••••• F•••••••• S•••••••• I••• for S•••••••• F••••••••• I••• (registered 2022-04-01)Apr 6, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 43derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address