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

C••••••••• L•••• H•••••

M•••••• L••••• P•••••• F••••• • S•••• I•••••••••wirehouseCape Girardeau, Modual registrantIAPD 2779491

Feed of 09/14/2026

Also filed as Chris H•••••

At current firm

4 y

since Aug 15, 2022

In the industry

29 y

since Nov 25, 1996 (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•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse current
since Aug 15, 2022 · Cape Girardeau, Mo
U••• B•••••• I••••••••• I••• former
Sep 12, 2016 to Aug 19, 2022 · Bloomfield, Mo
N••••••••• M••••• I••••••••• S••••••••• no RAUM
Jan 7, 2014 to Sep 13, 2016 · Cpe Girardeau, Mo
E••••• J•••• national BD
Dec 11, 2008 to Dec 3, 2013 · Cape Girardeau, Mo
V•••• F•••••••• A•••••••• I••• BD affiliated
May 28, 2008 to Dec 11, 2008 · St. Louis, Mo
M••••• K••••• • C••••••• L•• former
May 16, 2005 to May 27, 2008 · Cape Girardeau, Mo
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Apr 17, 2001 to Mar 11, 2003 · Cape Girardeau, Mo

Moves

a registration end followed by a registration begin elsewhere

U••• B•••••• I••••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Aug 19, 2022, registered Aug 15, 2022 (-4 days) · Affiliated broker-dealer or bank to wirehouse
N••••••••• M••••• I••••••••• S••••••••• to U••• B•••••• I••••••••• I•••
left Sep 13, 2016, registered Sep 12, 2016 (-1 days) · Other
E••••• J•••• to N••••••••• M••••• I••••••••• S•••••••••
left Dec 3, 2013, registered Jan 7, 2014 (35 days) · Other
V•••• F•••••••• A•••••••• I••• to E••••• J••••
left Dec 11, 2008, registered Dec 11, 2008 (0 days) · Other
M••••• K••••• • C••••••• L•• to V•••• F•••••••• A•••••••• I•••
left May 27, 2008, registered May 28, 2008 (1 days) · Other
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• K••••• • C••••••• L••
left Mar 11, 2003, registered May 16, 2005 (797 days) · Other

Signals

C••••••••• L•••• H••••• left U••• B•••••• I••••••••• I••• for M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (registered 2022-08-15)
Aug 19, 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: Wirehousederived
Years in industry: 29derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address