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

K•••• D••••••• H••••••

C••••• U•••• I••••••••• S•••••••state registeredPineville, Ncdual registrantIAPD 2531072

Certified Financial Planner

Feed of 09/14/2026

Also filed as K•••• H••••••

At current firm

1 y

since Oct 29, 2024

In the industry

22 y

since May 6, 2004 (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

C••••• U•••• I••••••••• S••••••• state registered current
since Oct 29, 2024 · Pineville, Nc
W•••• F•••• A••••••• wirehouse
Oct 4, 2022 to Jun 11, 2024 · Salt Lake City, Ut
A•••••• A••••••• S••••••• former
Dec 21, 2018 to Aug 10, 2022 · Louisville, Ky
M•• I•••••••• S•••••••• L•• BD affiliated
Jan 23, 2017 to Feb 8, 2018 · Louisville, Ky
A•••••• A••••••• S••••••• former
Oct 14, 2014 to Nov 1, 2016 · Louisville, Ky
F•••• T•••• S••••••••• I••• BD affiliated
Jul 25, 2013 to Mar 28, 2014 · Louisville, Ky
E••••• J•••• national BD
Jul 16, 2012 to Mar 1, 2013 · St Louis, Mo
V•••• F•••••••• A•••••••• I••• BD affiliated
Sep 26, 2011 to Jun 28, 2012 · Carmel, In

Moves

a registration end followed by a registration begin elsewhere

W•••• F•••• A••••••• to C••••• U•••• I••••••••• S•••••••
left Jun 11, 2024, registered Oct 29, 2024 (140 days) · Wirehouse to a state-registered adviser
A•••••• A••••••• S••••••• to W•••• F•••• A•••••••
left Aug 10, 2022, registered Oct 4, 2022 (55 days) · Affiliated broker-dealer or bank to wirehouse
M•• I•••••••• S•••••••• L•• to A•••••• A••••••• S•••••••
left Feb 8, 2018, registered Dec 21, 2018 (316 days) · Other
A•••••• A••••••• S••••••• to M•• I•••••••• S•••••••• L••
left Nov 1, 2016, registered Jan 23, 2017 (83 days) · Other
F•••• T•••• S••••••••• I••• to A•••••• A••••••• S•••••••
left Mar 28, 2014, registered Oct 14, 2014 (200 days) · Other
E••••• J•••• to F•••• T•••• S••••••••• I•••
left Mar 1, 2013, registered Jul 25, 2013 (146 days) · Other
V•••• F•••••••• A•••••••• I••• to E••••• J••••
left Jun 28, 2012, registered Jul 16, 2012 (18 days) · Other

Signals

K•••• D••••••• H•••••• left W•••• F•••• A••••••• for C••••• U•••• I••••••••• S••••••• (registered 2024-10-29)
Jun 11, 2024 · Advisor changed firm · fact
K•••• D••••••• H•••••• left A•••••• A••••••• S••••••• for W•••• F•••• A••••••• (registered 2022-10-04)
Aug 10, 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: STATE REGISTEREDderived
Years in industry: 22derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address