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

H••••• B••••• M•••••

L••••• F••••••••• I•••BD affiliatedBirmingham, Aldual registrantIAPD 4214267

Feed of 09/14/2026

At current firm

0 y

since Oct 6, 2025

In the industry

26 y

since Aug 14, 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

L••••• F••••••••• I••• BD affiliated current
since Oct 6, 2025 · Birmingham, Al
M• H••••••• S••••••••• I••• BD affiliated
Apr 8, 2025 to Oct 3, 2025 · Dallas, Tx
C•••••••• F•••••••• G•••• A••••••• former
Jan 5, 2016 to Mar 13, 2025 · Birmingham, Al
S•••••• N••••••• • C••••••• I••••••••• national BD
Jul 8, 2015 to Dec 22, 2015 · Birmingham, Al
S••••• A••• A•••• M••••••••• I••• former
Sep 7, 2012 to Dec 28, 2015 · Birmingham, Al
M•• F•••••••• S•••••••• I••• former
May 27, 2009 to Sep 7, 2012 · Birmingham, Al
E•••••••• A•••••••• L•• national BD
May 5, 2005 to Mar 24, 2007 · Trussville, Al
C••••••• A•••• M••••••••• I•• unclassified
Apr 8, 2004 to Apr 4, 2005 · Birmingham, Al
E•••••• A••••••• S•••••••• I••• unclassified
May 21, 2002 to Jun 11, 2003 · Trussville, Al

Moves

a registration end followed by a registration begin elsewhere

M• H••••••• S••••••••• I••• to L••••• F••••••••• I•••
left Oct 3, 2025, registered Oct 6, 2025 (3 days) · Affiliated broker-dealer or bank to independent RIA
C•••••••• F•••••••• G•••• A••••••• to M• H••••••• S••••••••• I•••
left Mar 13, 2025, registered Apr 8, 2025 (26 days) · Affiliated broker-dealer or bank to another
S••••• A••• A•••• M••••••••• I••• to S•••••• N••••••• • C••••••• I•••••••••
left Dec 28, 2015, registered Jul 8, 2015 (-173 days) · Other
S•••••• N••••••• • C••••••• I••••••••• to C•••••••• F•••••••• G•••• A•••••••
left Dec 22, 2015, registered Jan 5, 2016 (14 days) · Other
M•• F•••••••• S•••••••• I••• to S••••• A••• A•••• M••••••••• I•••
left Sep 7, 2012, registered Sep 7, 2012 (0 days) · Other
E•••••••• A•••••••• L•• to M•• F•••••••• S•••••••• I•••
left Mar 24, 2007, registered May 27, 2009 (795 days) · Other
C••••••• A•••• M••••••••• I•• to E•••••••• A•••••••• L••
left Apr 4, 2005, registered May 5, 2005 (31 days) · Other
E•••••• A••••••• S•••••••• I••• to C••••••• A•••• M••••••••• I••
left Jun 11, 2003, registered Apr 8, 2004 (302 days) · Other

Signals

Harold Blaine Miller left M Holdings Securities, Inc. for Lanark Financial, Inc. (registered 2025-10-06)
Oct 3, 2025 · Advisor changed firm · fact
Harold Blaine Miller left Concourse Financial Group Advisors for M Holdings Securities, Inc. (registered 2025-04-08)
Mar 13, 2025 · 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