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Registered advisor
H••••• E•••••• S••••
Feed of 09/14/2026
Also filed as H••••• E•••••• S••••
At current firm
3 y
since Apr 2, 2023
In the industry
25 y
since Oct 4, 2000 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- S••••• W••••• A•••••••• I••• no RAUM currentsince Apr 2, 2023 · Lithia, Fl
- U••• I••••••••• S••••••• C•••••• no RAUMJan 8, 2018 to May 24, 2020 · San Antonio, Tx
- U••• F•••••••• P••••••• S••••••• formerJul 29, 2011 to Jan 8, 2018 · Seattle, Wa
- T• A••••••••• I••••••••• M••••••••• L•• formerJul 19, 2010 to Jul 6, 2011 · Fort Worth, Tx
- T• A••••••••• I••• formerJul 19, 2010 to Jul 6, 2011 · Westlake, Tx
Moves
a registration end followed by a registration begin elsewhere
- U••• I••••••••• S••••••• C•••••• to S••••• W••••• A•••••••• I•••left May 24, 2020, registered Apr 2, 2023 (1043 days) · Other · moved with a team
- 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
- T• A••••••••• I••••••••• M••••••••• L•• to U••• F•••••••• P••••••• S•••••••left Jul 6, 2011, registered Jul 29, 2011 (23 days) · Other
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Jul 6, 2011, registered Jul 19, 2010 (-352 days) · channel change inside one enterprise, not a move
Signals
No dated event on this person.
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
- No RAUM reportedderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address