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.

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Registered advisor

H•••••• B•••••

W•••• F•••• A•••••••wirehouseBirmingham, Al dual registrantIAPD 2890648

Feed of 09/14/2026

Also filed as H•••••• Anne Carpenter

At current firm

7 y

since May 30, 2019

In the industry

17 y

since Dec 22, 2008 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

W•••• F•••• A••••••• wirehouse current
since May 30, 2019 · Daphne, Al
S•••••• N••••••• • C••••••• I••••••••• national BD
Dec 4, 2018 to Apr 26, 2019 · Mobile, Al
R•••••• J•••• • A••••••••• I••• national BD
Feb 13, 2014 to Nov 27, 2018 · Decatur, Al
I••••••••• P••••••••• I••• former
Nov 1, 2012 to Feb 21, 2014 · San Antonio, Tx
E••••• J•••• national BD
Feb 7, 2012 to Nov 1, 2012 · Decatur, Al
M••••• K••••• • C••••••• L•• former
Dec 23, 2008 to Feb 8, 2011 · Decatur, Al

Moves

a registration end followed by a registration begin elsewhere

S•••••• N••••••• • C••••••• I••••••••• to W•••• F•••• A•••••••
left Apr 26, 2019, registered May 30, 2019 (34 days) · Affiliated broker-dealer or bank to wirehouse
R•••••• J•••• • A••••••••• I••• to S•••••• N••••••• • C••••••• I•••••••••
left Nov 27, 2018, registered Dec 4, 2018 (7 days) · Affiliated broker-dealer or bank to another
I••••••••• P••••••••• I••• to R•••••• J•••• • A••••••••• I•••
left Feb 21, 2014, registered Feb 13, 2014 (-8 days) · Other
E••••• J•••• to I••••••••• P••••••••• I•••
left Nov 1, 2012, registered Nov 1, 2012 (0 days) · Other
M••••• K••••• • C••••••• L•• to E••••• J••••
left Feb 8, 2011, registered Feb 7, 2012 (364 days) · Other

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: Wirehousederived
Years in industry: 17derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address