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••••• H•••••• C••••••

S••••• L••• C••••••• L••independent RIADuncan, OkIA-onlyIAPD 2265431

Certified Financial Planner

Feed of 09/14/2026

Also filed as Joe C••••••

At current firm

1 y

since Jan 2, 2025

In the industry

34 y

since Aug 27, 1992 (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

S••••• L••• C••••••• L•• independent RIA current
since Jan 2, 2025 · Duncan, Ok
T••••• F•••••••• G••••• I•• independent RIA
Sep 6, 2022 to Jan 7, 2025 · Oklahoma City, Ok
H•• A••••••• S••••••• L•• independent RIA
Jan 2, 2020 to Oct 12, 2022 · Duncan, Ok
C•••••• F•••••••• S•••••••• I••• unclassified
Oct 28, 2010 to Jun 30, 2020 · Duncan, Ok
W•• A•••••••• L• former
Mar 31, 2010 to Dec 31, 2010 · Duncan, Ok
R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated
Jun 22, 2009 to Mar 31, 2010 · Duncan, Ok
C•••••• F•••••••• S•••••••• I••• unclassified
Mar 20, 2009 to Aug 26, 2009 · Duncan, Ok
C•••••• F•••••••• S•••••••• I••• unclassified
Nov 2, 2005 to Apr 9, 2009 · Duncan, Ok
R•••••• J•••• F•••••••• S•••••••• I••• unclassified
Oct 20, 1999 to Jun 27, 2005 · Corona, Ca

Moves

a registration end followed by a registration begin elsewhere

T••••• F•••••••• G••••• I•• to S••••• L••• C••••••• L••
left Jan 7, 2025, registered Jan 2, 2025 (-5 days) · RIA to RIA
H•• A••••••• S••••••• L•• to T••••• F•••••••• G••••• I••
left Oct 12, 2022, registered Sep 6, 2022 (-36 days) · RIA to RIA
C•••••• F•••••••• S•••••••• I••• to H•• A••••••• S••••••• L••
left Jun 30, 2020, registered Jan 2, 2020 (-180 days) · Other
W•• A•••••••• L• to C•••••• F•••••••• S•••••••• I•••
left Dec 31, 2010, registered Oct 28, 2010 (-64 days) · Other
R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to W•• A•••••••• L•
left Mar 31, 2010, registered Mar 31, 2010 (0 days) · Other
C•••••• F•••••••• S•••••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••
left Aug 26, 2009, registered Jun 22, 2009 (-65 days) · Other
C•••••• F•••••••• S•••••••• I••• to C•••••• F•••••••• S•••••••• I•••
left Apr 9, 2009, registered Mar 20, 2009 (-20 days) · Other
R•••••• J•••• F•••••••• S•••••••• I••• to C•••••• F•••••••• S•••••••• I•••
left Jun 27, 2005, registered Nov 2, 2005 (128 days) · Other

Signals

J••••• H•••••• C•••••• left T••••• F•••••••• G••••• I•• for S••••• L••• C••••••• L•• (registered 2025-01-02)
Jan 7, 2025 · Advisor changed firm · fact
J••••• H•••••• C•••••• left H•• A••••••• S••••••• L•• for T••••• F•••••••• G••••• I•• (registered 2022-09-06)
Oct 12, 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: 34derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address