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

T••••• J••• H•••••

L•• E••••••••• L••BD affiliatedCape Girardeau, Modual registrantIAPD 3278651

Feed of 09/14/2026

Also filed as Tom H•••••

At current firm

1 y

since Feb 11, 2025

In the industry

26 y

since Oct 25, 1999 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

L•• E••••••••• L•• BD affiliated current
since Feb 11, 2025 · Cape Girardeau, Mo
C••••• I••••••••• A••••••• L•• BD affiliated
Jun 29, 2023 to Feb 27, 2025 · Cape Girardeau, Mo
C••••• A•••••• N••••••• L•• former
Aug 31, 2018 to Jun 29, 2023 · Cape Girardeau, Mo
W••••••• F•••••••• S•••••••• I••• former
Jun 4, 2010 to Sep 7, 2018 · Cape Girardeau, Mo
F•••• A••••• A••••••• S•••••••• I••• former
Jan 1, 2007 to Jun 15, 2010 · Cape Girardeau, Mo
F•• A••••••• S••••••• I•• unclassified
Jan 6, 2000 to Jan 1, 2007 · Cape Girardeau, Mo

Moves

a registration end followed by a registration begin elsewhere

C••••• I••••••••• A••••••• L•• to L•• E••••••••• L••
left Feb 27, 2025, registered Feb 11, 2025 (-16 days) · Affiliated broker-dealer or bank to a newly registered adviser · moved with a team
C••••• A•••••• N••••••• L•• to C••••• I••••••••• A••••••• L••
left Jun 29, 2023, registered Jun 29, 2023 (0 days) · corporate re-registration, not a move
W••••••• F•••••••• S•••••••• I••• to C••••• A•••••• N••••••• L••
left Sep 7, 2018, registered Aug 31, 2018 (-7 days) · Affiliated broker-dealer or bank to another
F•••• A••••• A••••••• S•••••••• I••• to W••••••• F•••••••• S•••••••• I•••
left Jun 15, 2010, registered Jun 4, 2010 (-11 days) · Other
F•• A••••••• S••••••• I•• to F•••• A••••• A••••••• S•••••••• I•••
left Jan 1, 2007, registered Jan 1, 2007 (0 days) · corporate re-registration, not a move

Signals

T••••• J••• H••••• left C••••• I••••••••• A••••••• L•• for L•• E••••••••• L•• (registered 2025-02-11)
Feb 27, 2025 · a•••••• firm change · 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: 26derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address