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••••• J••••

H•••••• S••••••••• I•••BD affiliatedAustin, TxIA-onlyIAPD 2949339

Feed of 09/14/2026

At current firm

3 y

since Jan 20, 2023

In the industry

28 y

since Dec 6, 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

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

H•••••• S••••••••• I••• BD affiliated current
since Jan 20, 2023 · Austin, Tx
W••••••••• independent RIA
Jan 27, 2012 to Feb 22, 2023 · Ramona, Ca
J•••• • W•••••••• L•• former
Jan 27, 2009 to Mar 20, 2012 · Austin, Tx
A••••••• W••••• E••••••••• independent RIA
Apr 24, 2006 to Aug 13, 2012 · New York, Ny
S•• I••••••••• I••• former
Dec 1, 2004 to Mar 3, 2006 · Cutchogue, Ny
N••••• • L•••• S••••••••• I••• unclassified
Dec 31, 2001 to Jan 27, 2003 · New York, Ny

Moves

a registration end followed by a registration begin elsewhere

W••••••••• to H•••••• S••••••••• I•••
left Feb 22, 2023, registered Jan 20, 2023 (-33 days) · RIA to affiliated broker-dealer or bank
A••••••• W••••• E••••••••• to J•••• • W•••••••• L••
left Aug 13, 2012, registered Jan 27, 2009 (-1294 days) · Other
J•••• • W•••••••• L•• to W•••••••••
left Mar 20, 2012, registered Jan 27, 2012 (-53 days) · Other
S•• I••••••••• I••• to A••••••• W••••• E•••••••••
left Mar 3, 2006, registered Apr 24, 2006 (52 days) · Other
N••••• • L•••• S••••••••• I••• to S•• I••••••••• I•••
left Jan 27, 2003, registered Dec 1, 2004 (674 days) · Other

Signals

K••••• J•••• left Worthpointe for H•••••• S••••••••• I••• (registered 2023-01-20)
Feb 22, 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: 28derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address