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

S••••• A•••• H•••••••••

S••••independent RIANew York, Ny IA-onlyIAPD 2261671

Certified Financial Planner

Feed of 09/14/2026

Also filed as S••••• A H•••••••••

At current firm

0 y

since Jun 12, 2026

In the industry

32 y

since Oct 6, 1993 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

S•••• independent RIA current
since Jun 12, 2026 · Bremerton, Wa
F••••• W••••• P•••••••• I••• independent RIA
Sep 27, 2024 to Jun 11, 2026 · Ontario, Ca
F•••• P•••••• F••••••••• I••• independent RIA
Feb 23, 2022 to Sep 25, 2024 · Seattle, Wa
R••••• • A••••••••• I•• former
Oct 28, 2020 to Jul 13, 2022 · Seattle, Wa
F•••• H•••••• A•••••••• I•• former
Aug 30, 2016 to Aug 1, 2017 · Memphis, Tn
A••••• A•• P••••••• S••••••• BD affiliated
May 29, 2014 to Apr 13, 2016 · Memphis, Tn
L••••• W••••• M••••••••• L•• independent RIA
Apr 1, 2004 to Dec 23, 2013 · Memphis, Tn

Moves

a registration end followed by a registration begin elsewhere

F••••• W••••• P•••••••• I••• to S••••
left Jun 11, 2026, registered Jun 12, 2026 (1 days) · RIA to RIA
F•••• P•••••• F••••••••• I••• to F••••• W••••• P•••••••• I•••
left Sep 25, 2024, registered Sep 27, 2024 (2 days) · RIA to RIA
R••••• • A••••••••• I•• to F•••• P•••••• F••••••••• I•••
left Jul 13, 2022, registered Feb 23, 2022 (-140 days) · RIA to RIA
F•••• H•••••• A•••••••• I•• to R••••• • A••••••••• I••
left Aug 1, 2017, registered Oct 28, 2020 (1184 days) · Other
A••••• A•• P••••••• S••••••• to F•••• H•••••• A•••••••• I••
left Apr 13, 2016, registered Aug 30, 2016 (139 days) · Other
L••••• W••••• M••••••••• L•• to A••••• A•• P••••••• S•••••••
left Dec 23, 2013, registered May 29, 2014 (157 days) · Other

Signals

S••••• A•••• H••••••••• left F••••• W••••• P•••••••• I••• for Savvy (registered 2026-06-12)
Jun 11, 2026 · Advisor changed firm · fact
S••••• A•••• H••••••••• left F•••• P•••••• F••••••••• I••• for F••••• W••••• P•••••••• I••• (registered 2024-09-27)
Sep 25, 2024 · Advisor changed firm · fact
S••••• A•••• H••••••••• left R••••• • A••••••••• I•• for F•••• P•••••• F••••••••• I••• (registered 2022-02-23)
Jul 13, 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: Independent wealth managerderived
Years in industry: 32derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address