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

B•••• H••••

H•••••• S••••••••• I•••BD affiliatedSan Antonio, Txdual registrantIAPD 3249437

Feed of 09/14/2026

Also filed as B•••• Douglas H••••

At current firm

2 y

since Mar 15, 2024

In the industry

27 y

since Jul 13, 1999 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

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 Mar 15, 2024 · San Antonio, Tx
E••••• J•••• national BD
Apr 21, 2022 to Feb 22, 2024 · Universal City, Tx
C•••••• S••••• • C••• I••• national BD
Dec 16, 2009 to May 5, 2022 · San Antonio, Tx
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Oct 23, 2009 to Nov 20, 2009 · Houston, Tx
B••• O• A•••••• I••••••••• S•••••••• I••• unclassified
Sep 4, 2008 to Oct 23, 2009 · Katy, Tx
C••••••••• I••••••••• S•••••••• I••• unclassified
Jan 30, 2008 to Sep 8, 2008 · Houston, Tx
A• G• E•••••• • S•••• I••• unclassified
Jul 25, 2005 to May 11, 2007 · Katy, Tx
S•••••••• A••••••• L•• national BD
Jun 11, 2004 to Mar 3, 2005 · Houston, Tx

Moves

a registration end followed by a registration begin elsewhere

E••••• J•••• to H•••••• S••••••••• I•••
left Feb 22, 2024, registered Mar 15, 2024 (22 days) · Affiliated broker-dealer or bank to another · moved with a team
C•••••• S••••• • C••• I••• to E••••• J••••
left May 5, 2022, registered Apr 21, 2022 (-14 days) · Affiliated broker-dealer or bank to another
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••••• S••••• • C••• I•••
left Nov 20, 2009, registered Dec 16, 2009 (26 days) · Wirehouse to affiliated broker-dealer or bank
B••• O• A•••••• I••••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Oct 23, 2009, registered Oct 23, 2009 (0 days) · corporate re-registration, not a move
C••••••••• I••••••••• S•••••••• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••
left Sep 8, 2008, registered Sep 4, 2008 (-4 days) · Other
A• G• E•••••• • S•••• I••• to C••••••••• I••••••••• S•••••••• I•••
left May 11, 2007, registered Jan 30, 2008 (264 days) · Other
S•••••••• A••••••• L•• to A• G• E•••••• • S•••• I•••
left Mar 3, 2005, registered Jul 25, 2005 (144 days) · Other

Signals

B•••• H•••• left E••••• J•••• for H•••••• S••••••••• I••• (registered 2024-03-15)
Feb 22, 2024 · Advisor changed firm · fact
B•••• H•••• left C•••••• S••••• • C••• I••• for E••••• J•••• (registered 2022-04-21)
May 5, 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: 27derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address