DFX Intelligence
RIA Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Registered advisor
L•••• C•••• H••••
Feed of 09/14/2026
At current firm
17 y
since Feb 26, 2009
In the industry
28 y
since Mar 23, 1998 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- R•••••• J•••• • A••••••••• I••• national BD currentsince Feb 26, 2009 · Little Rock, Ar
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Feb 2, 2009 · Little Rock, Ar
- M••••• S•••••• D• I••• unclassifiedJul 18, 2006 to Apr 2, 2007 · Little Rock, Ar
- M••••• K••••• • C••••••• L•• formerJan 22, 2002 to Aug 26, 2004 · Little Rock, Ar
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• • C•• L•• to R•••••• J•••• • A••••••••• I•••left Feb 2, 2009, registered Feb 26, 2009 (24 days) · Other
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
- M••••• K••••• • C••••••• L•• to M••••• S•••••• D• I•••left Aug 26, 2004, registered Jul 18, 2006 (691 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
- National broker-dealer RIAderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address