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

G•••••• S•••• H•••••

C••••••• P•••••••independent RIAOverland Park, Ks IA-onlyIAPD 2307795

Feed of 09/15/2026

Also filed as G•••••• S H•••••

At current firm

9 y

since Jan 30, 2017

In the industry

32 y

since Nov 18, 1993 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

C••••••• P••••••• independent RIA current
since Jan 30, 2017 · Wellesley, Ma
M•• A•••• M••••••••• L•• former
Apr 22, 2016 to May 9, 2016 · Tewksbury, Ma
A••••• A•• P••••••• S••••••• BD affiliated
Jun 28, 2012 to Mar 29, 2016 · Waltham, Ma
S•••••••• A••••••• L•• national BD
Aug 5, 2005 to May 24, 2012 · Merrimack, Nh
F••••••• P••••••• T•••• C••••••• F•• unclassified
Aug 5, 2005 to Mar 28, 2007 · Merrimack, Nh

Moves

a registration end followed by a registration begin elsewhere

M•• A•••• M••••••••• L•• to C••••••• P•••••••
left May 9, 2016, registered Jan 30, 2017 (266 days) · Other
A••••• A•• P••••••• S••••••• to M•• A•••• M••••••••• L••
left Mar 29, 2016, registered Apr 22, 2016 (24 days) · Other
S•••••••• A••••••• L•• to A••••• A•• P••••••• S•••••••
left May 24, 2012, registered Jun 28, 2012 (35 days) · Other
F••••••• P••••••• T•••• C••••••• F•• to S•••••••• A••••••• L••
left Mar 28, 2007, registered Aug 5, 2005 (-600 days) · Other

Signals

No dated event on this person.

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