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

M•••• D•••• H•••••••••

A••••••••• F•••••••• S•••••••• L••national BDLake Havasu City, Az dual registrantIAPD 2136257

Feed of 09/15/2026

Also filed as M•••• D•••• Hendickson

At current firm

2 y

since May 3, 2024

In the industry

35 y

since Apr 17, 1991 (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

A••••••••• F•••••••• S•••••••• L•• national BD current
since May 3, 2024 · Lake Havasu City, Az
R•••••• J•••• • A••••••••• I••• national BD
Sep 26, 2014 to May 10, 2024 · Lake Havasu City, Az
W•••••• S••••••••• I••• BD affiliated
Nov 25, 2008 to Sep 29, 2014 · Lake Havasu City, Az
C••••••• W••••• • C•• former
Dec 8, 2006 to Nov 18, 2008 · Irvine, Ca
S•••• I••••••••• A••••••• I••••••••• state registered
Apr 29, 2005 to Dec 7, 2006 · Redlands, Ca
M••••• S•••••• D• I••• unclassified
Mar 26, 2002 to May 2, 2005 · Brea, Ca

Moves

a registration end followed by a registration begin elsewhere

R•••••• J•••• • A••••••••• I••• to A••••••••• F•••••••• S•••••••• L••
left May 10, 2024, registered May 3, 2024 (-7 days) · Affiliated broker-dealer or bank to another
W•••••• S••••••••• I••• to R•••••• J•••• • A••••••••• I•••
left Sep 29, 2014, registered Sep 26, 2014 (-3 days) · Other
C••••••• W••••• • C•• to W•••••• S••••••••• I•••
left Nov 18, 2008, registered Nov 25, 2008 (7 days) · Other
S•••• I••••••••• A••••••• I••••••••• to C••••••• W••••• • C••
left Dec 7, 2006, registered Dec 8, 2006 (1 days) · Other
M••••• S•••••• D• I••• to S•••• I••••••••• A••••••• I•••••••••
left May 2, 2005, registered Apr 29, 2005 (-3 days) · Other

Signals

M•••• D•••• H••••••••• left R•••••• J•••• • A••••••••• I••• for A••••••••• F•••••••• S•••••••• L•• (registered 2024-05-03)
May 10, 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: National broker-dealer RIAderived
Years in industry: 35derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address