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

H•••••• P•••• H••••••

M•••••••• C••••••state registeredCortland, NyIA-onlyIAPD 2519330

Feed of 09/14/2026

Also filed as H•••••• P•••• H••••••

At current firm

4 y

since Apr 19, 2022

In the industry

31 y

since Oct 26, 1994 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

M•••••••• C•••••• state registered current
since Apr 19, 2022 · Cortland, Ny
F•• W••••• P•••••••• I••• independent RIA
Oct 16, 2013 to Aug 21, 2014 · Homer, Ny
A••••••••• F•••••••• S•••••••• L•• national BD
Jan 12, 2011 to Oct 3, 2013 · Pepper Pike, Oh
M••••• S•••••• wirehouse
Jun 1, 2009 to Feb 9, 2011 · Newport, Ri
C•••••••• G••••• M•••••• I••• BD affiliated
Dec 8, 2005 to Jun 1, 2009 · New York, Ny

Moves

a registration end followed by a registration begin elsewhere

F•• W••••• P•••••••• I••• to M•••••••• C••••••
left Aug 21, 2014, registered Apr 19, 2022 (2798 days) · Other
A••••••••• F•••••••• S•••••••• L•• to F•• W••••• P•••••••• I•••
left Oct 3, 2013, registered Oct 16, 2013 (13 days) · Other
M••••• S•••••• to A••••••••• F•••••••• S•••••••• L••
left Feb 9, 2011, registered Jan 12, 2011 (-28 days) · Wirehouse to affiliated broker-dealer or bank
C•••••••• G••••• M•••••• I••• to M••••• S••••••
left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move

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: STATE REGISTEREDderived
Years in industry: 31derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address