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•••••••• H•••••••

V•••• F•••••••• A•••••••• I•••BD affiliatedCarmel, Indual registrantIAPD 2963873

Certified Financial Planner

Feed of 09/14/2026

Also filed as C•••••••• Humphrey

At current firm

1 y

since Dec 12, 2024

In the industry

28 y

since Dec 18, 1997 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, 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

V•••• F•••••••• A•••••••• I••• BD affiliated current
since Dec 12, 2024 · Carmel, In
C•••••• W••••• independent RIA
Apr 23, 2024 to Dec 11, 2024 · St. Louis, Mo
M••••••••• R••••••••• BD affiliated
Jun 15, 2023 to Apr 19, 2024 · Washington, Dc
C•••••••• G••••• M•••••• I••• BD affiliated
Feb 7, 2023 to Jun 13, 2023 · New York, Ny
V•••• F•••••••• A•••••••• I••• BD affiliated
Sep 24, 2014 to Oct 14, 2022 · Jonesboro, Ar
A••••• A•• P••••••• S••••••• BD affiliated
Jul 19, 2013 to Sep 23, 2014 · Ames, Ia
V•••• F•••••••• A•••••••• I••• BD affiliated
Jul 20, 2009 to Jul 18, 2013 · Overland Park, Ks
U••• B•••••• I••••••••• I••• former
Sep 25, 2008 to Jul 14, 2009 · Des Moines, Ia

Moves

a registration end followed by a registration begin elsewhere

C•••••• W••••• to V•••• F•••••••• A•••••••• I•••
left Dec 11, 2024, registered Dec 12, 2024 (1 days) · RIA to affiliated broker-dealer or bank
M••••••••• R••••••••• to C•••••• W•••••
left Apr 19, 2024, registered Apr 23, 2024 (4 days) · Other
C•••••••• G••••• M•••••• I••• to M••••••••• R•••••••••
left Jun 13, 2023, registered Jun 15, 2023 (2 days) · Other
V•••• F•••••••• A•••••••• I••• to C•••••••• G••••• M•••••• I•••
left Oct 14, 2022, registered Feb 7, 2023 (116 days) · Affiliated broker-dealer or bank to another
A••••• A•• P••••••• S••••••• to V•••• F•••••••• A•••••••• I•••
left Sep 23, 2014, registered Sep 24, 2014 (1 days) · Other
V•••• F•••••••• A•••••••• I••• to A••••• A•• P••••••• S•••••••
left Jul 18, 2013, registered Jul 19, 2013 (1 days) · Other
U••• B•••••• I••••••••• I••• to V•••• F•••••••• A•••••••• I•••
left Jul 14, 2009, registered Jul 20, 2009 (6 days) · Other

Signals

C•••••••• H••••••• left C•••••• W••••• for V•••• F•••••••• A•••••••• I••• (registered 2024-12-12)
Dec 11, 2024 · Advisor changed firm · fact
C•••••••• H••••••• left M••••••••• R••••••••• for C•••••• W••••• (registered 2024-04-23)
Apr 19, 2024 · Advisor changed firm · fact
C•••••••• H••••••• left C•••••••• G••••• M•••••• I••• for M••••••••• R••••••••• (registered 2023-06-15)
Jun 13, 2023 · Advisor changed firm · fact
C•••••••• H••••••• left V•••• F•••••••• A•••••••• I••• for C•••••••• G••••• M•••••• I••• (registered 2023-02-07)
Oct 14, 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: 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