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••••• J••••• E••••••••

T•• A•••••••• I•••BD affiliatedSummit, Nj dual registrantIAPD 2581496

Feed of 09/14/2026

Also filed as H••••• J••••• E••••••••

At current firm

1 y

since Apr 2, 2025

In the industry

31 y

since Jan 30, 1995 (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

T•• A•••••••• I••• BD affiliated current
since Apr 2, 2025 · Mercer Island, Wa
O•••• W•••••• I••• BD affiliated
Jun 14, 2024 to Mar 28, 2025 · Scottsdale, Az
S••••••••• A•••••• A•••••••• I••• former
Nov 6, 2020 to Jun 14, 2024 · Seattle, Wa
K•• F•••••••• S•••••••• I•• former
Jan 4, 2019 to Nov 6, 2020 · Seattle, Wa
C••••• A••••••• L•• former
Jun 18, 2014 to Dec 12, 2018 · Greenwood Village, Co
C••••• A•••••• N••••••• L•• former
Jun 6, 2013 to Jun 19, 2015 · Culver City, Ca
P•••••• W••• F•••••••• C••••••••• I•• former
Nov 8, 2006 to Mar 30, 2012 · Renton, Wa

Moves

a registration end followed by a registration begin elsewhere

O•••• W•••••• I••• to T•• A•••••••• I•••
left Mar 28, 2025, registered Apr 2, 2025 (5 days) · Affiliated broker-dealer or bank to another
S••••••••• A•••••• A•••••••• I••• to O•••• W•••••• I•••
left Jun 14, 2024, registered Jun 14, 2024 (0 days) · corporate re-registration, not a move
K•• F•••••••• S•••••••• I•• to S••••••••• A•••••• A•••••••• I•••
left Nov 6, 2020, registered Nov 6, 2020 (0 days) · corporate re-registration, not a move
C••••• A••••••• L•• to K•• F•••••••• S•••••••• I••
left Dec 12, 2018, registered Jan 4, 2019 (23 days) · Affiliated broker-dealer or bank to another
C••••• A•••••• N••••••• L•• to C••••• A••••••• L••
left Jun 19, 2015, registered Jun 18, 2014 (-366 days) · channel change inside one enterprise, not a move
P•••••• W••• F•••••••• C••••••••• I•• to C••••• A•••••• N••••••• L••
left Mar 30, 2012, registered Jun 6, 2013 (433 days) · Other

Signals

H••••• J••••• E•••••••• left O•••• W•••••• I••• for T•• A•••••••• I••• (registered 2025-04-02)
Mar 28, 2025 · a•••••• firm change · 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: Broker-dealer affiliated wealth managerderived
Years in industry: 31derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address