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

S•••••• H••••••••

K••••• A••••••• S•••••••• L••BD affiliatedPort Jefferson, Ny dual registrantIAPD 4061499

Feed of 09/14/2026

Also filed as S•••••• Hasso H••••••••

At current firm

3 y

since Sep 26, 2022

In the industry

26 y

since Mar 21, 2000 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

K••••• A••••••• S•••••••• L•• BD affiliated current
since Sep 26, 2022 · Port Jefferson, Ny
W•••• F•••• A••••••• wirehouse
Mar 18, 2010 to Sep 28, 2022 · Hauppauge, Ny
C•••••••• G••••• M•••••• I••• BD affiliated
May 29, 2007 to Apr 1, 2010 · Plainview, Ny
C••••••• I••••••••• S••••••• unclassified
Nov 9, 2004 to May 29, 2007 · Smithtown, Ny

Moves

a registration end followed by a registration begin elsewhere

W•••• F•••• A••••••• to K••••• A••••••• S•••••••• L••
left Sep 28, 2022, registered Sep 26, 2022 (-2 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
C•••••••• G••••• M•••••• I••• to W•••• F•••• A•••••••
left Apr 1, 2010, registered Mar 18, 2010 (-14 days) · Other
C••••••• I••••••••• S••••••• to C•••••••• G••••• M•••••• I•••
left May 29, 2007, registered May 29, 2007 (0 days) · corporate re-registration, not a move

Signals

S•••••• H•••••••• left W•••• F•••• A••••••• for K••••• A••••••• S•••••••• L•• (registered 2022-09-26)
Sep 28, 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: 26derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address