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

J••••••• H••••••

L•• F•••••••• L••BD affiliatedSan Diego, Ca dual registrantIAPD 3227456

Certified Financial Planner

Feed of 09/14/2026

Also filed as J••••••• Caroline H••••••

At current firm

2 y

since Dec 4, 2023

In the industry

22 y

since Jul 28, 2004 (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

L•• F•••••••• L•• BD affiliated current
since Dec 4, 2023 · San Diego, Ca
K••••• A••••••• S•••••••• L•• BD affiliated
Feb 1, 2022 to Nov 9, 2023 · Austin, Tx
S•• I••••••••• S••••••• I••• former
Mar 30, 2018 to Oct 27, 2021 · Austin, Tx
U••• I••••••••• S••••••• C•••••• no RAUM
Jan 8, 2018 to Mar 12, 2018 · San Antonio, Tx
U••• F•••••••• P••••••• S••••••• former
May 12, 2011 to Jan 8, 2018 · Austin, Tx
W•••• F•••• A••••••• wirehouse
Jan 3, 2011 to Apr 19, 2011 · Austin, Tx
W•••• F•••• I••••••••• L•• unclassified
Feb 21, 2007 to Jan 3, 2011 · Austin, Tx
W•••• F•••• A••••••• wirehouse
May 8, 2006 to Jan 3, 2007 · Austin, Tx
C•••• I••••••••• S••••••• C•••• former
Jul 6, 2005 to Apr 3, 2006 · Austin, Tx
B••• O•• S••••••••• C••••••••• unclassified
Mar 24, 2005 to Jul 6, 2005 · Austin, Tx
C•••• I••••••••• S••••••• C•••• former
Jan 7, 2005 to Mar 16, 2005 · Austin, Tx
A• G• E•••••• • S•••• I••• unclassified
Jul 29, 2004 to Sep 30, 2004 · Tyler, Tx

Moves

a registration end followed by a registration begin elsewhere

K••••• A••••••• S•••••••• L•• to L•• F•••••••• L••
left Nov 9, 2023, registered Dec 4, 2023 (25 days) · Affiliated broker-dealer or bank to another · moved with a team
S•• I••••••••• S••••••• I••• to K••••• A••••••• S•••••••• L••
left Oct 27, 2021, registered Feb 1, 2022 (97 days) · Affiliated broker-dealer or bank to another
U••• I••••••••• S••••••• C•••••• to S•• I••••••••• S••••••• I•••
left Mar 12, 2018, registered Mar 30, 2018 (18 days) · Affiliated broker-dealer or bank to independent RIA
U••• F•••••••• P••••••• S••••••• to U••• I••••••••• S••••••• C••••••
left Jan 8, 2018, registered Jan 8, 2018 (0 days) · corporate re-registration, not a move
W•••• F•••• A••••••• to U••• F•••••••• P••••••• S•••••••
left Apr 19, 2011, registered May 12, 2011 (23 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••
left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move
W•••• F•••• A••••••• to W•••• F•••• I••••••••• L••
left Jan 3, 2007, registered Feb 21, 2007 (49 days) · Other
C•••• I••••••••• S••••••• C•••• to W•••• F•••• A•••••••
left Apr 3, 2006, registered May 8, 2006 (35 days) · Other
B••• O•• S••••••••• C••••••••• to C•••• I••••••••• S••••••• C••••
left Jul 6, 2005, registered Jul 6, 2005 (0 days) · corporate re-registration, not a move
C•••• I••••••••• S••••••• C•••• to B••• O•• S••••••••• C•••••••••
left Mar 16, 2005, registered Mar 24, 2005 (8 days) · Other
A• G• E•••••• • S•••• I••• to C•••• I••••••••• S••••••• C••••
left Sep 30, 2004, registered Jan 7, 2005 (99 days) · Other

Signals

J••••••• H•••••• left K••••• A••••••• S•••••••• L•• for L•• F•••••••• L•• (registered 2023-12-04)
Nov 9, 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: 22derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address