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•••••• L•• H•••••

L•• F•••••••• L••BD affiliatedBeverly, Ma dual registrantIAPD 2821781

Feed of 09/15/2026

Also filed as Heather L Hersey

At current firm

2 y

since Dec 6, 2023

In the industry

29 y

since Sep 3, 1997 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

L•• F•••••••• L•• BD affiliated current
since Dec 6, 2023 · Salem, Nh
C••••••• S••••••••• I••• BD affiliated
Mar 16, 2020 to Nov 28, 2023 · Gloucester, Ma
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Oct 10, 2019 to Mar 10, 2020 · Boston, Ma
S•••••••• A••••••• L•• national BD
Jun 24, 2016 to Dec 7, 2017 · Seattle, Wa
S•••••••• S••••••••• BD affiliated
Dec 11, 2015 to Apr 28, 2016 · Topsfield, Ma
C••••••• S••••••••• I••• BD affiliated
Jul 2, 2015 to Nov 24, 2015 · Malden, Ma
T• A••••••••• I••• former
Oct 27, 2014 to Jan 15, 2015 · Burlington, Ma
T• A••••••••• I••••••••• M••••••••• L•• former
Oct 27, 2014 to Jan 15, 2015 · Burlington, Ma
S•••••••• A••••••• L•• national BD
Aug 22, 2007 to Aug 14, 2013 · Danvers, Ma
S•••••••• A••••••• L•• national BD
Nov 9, 1998 to Oct 2, 2002 · Burlington, Ma

Moves

a registration end followed by a registration begin elsewhere

C••••••• S••••••••• I••• to L•• F•••••••• L••
left Nov 28, 2023, registered Dec 6, 2023 (8 days) · Affiliated broker-dealer or bank to another
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C••••••• S••••••••• I•••
left Mar 10, 2020, registered Mar 16, 2020 (6 days) · Wirehouse to affiliated broker-dealer or bank
S•••••••• A••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Dec 7, 2017, registered Oct 10, 2019 (672 days) · Affiliated broker-dealer or bank to wirehouse
S•••••••• S••••••••• to S•••••••• A••••••• L••
left Apr 28, 2016, registered Jun 24, 2016 (57 days) · Other
C••••••• S••••••••• I••• to S•••••••• S•••••••••
left Nov 24, 2015, registered Dec 11, 2015 (17 days) · Other
T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••
left Jan 15, 2015, registered Oct 27, 2014 (-80 days) · Other
T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••
left Jan 15, 2015, registered Oct 27, 2014 (-80 days) · channel change inside one enterprise, not a move
S•••••••• A••••••• L•• to T• A••••••••• I•••
left Aug 14, 2013, registered Oct 27, 2014 (439 days) · Other

Signals

H•••••• L•• H••••• left C••••••• S••••••••• I••• for L•• F•••••••• L•• (registered 2023-12-06)
Nov 28, 2023 · 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: Broker-dealer affiliated wealth managerderived
Years in industry: 29derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address