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

J••••••• S•••• H••••

L•• F•••••••• L••BD affiliatedThe Woodlands, Tx dual registrantIAPD 4253812

Certified Financial Planner

Feed of 09/15/2026

Also filed as J••••••• H••••

At current firm

2 y

since Jan 8, 2024

In the industry

25 y

since Nov 4, 2000 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, 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•••••••• L•• BD affiliated current
since Jan 8, 2024 · The Woodlands, Tx
L•••••• I••••••••• independent RIA
Jul 11, 2022 to Jan 8, 2024 · Palm Beach Gardens, Fl
C•••••• A••••••• BD affiliated
Jul 11, 2022 to Jan 8, 2024 · The Woodlands, Tx
C•••••• S••••• • C••• I••• national BD
Apr 20, 2011 to Jul 6, 2022 · The Woodlands, Tx
M••••• S•••••• wirehouse
Dec 18, 2009 to Dec 16, 2010 · Chesterfield, Mo
P•••• S••••••••• L•• no RAUM
Feb 14, 2008 to Dec 11, 2009 · Overland Park, Ks
N•••••• I••••••••• I••• unclassified
Jun 12, 2007 to Feb 6, 2008 · St. Louis, Mo
A••••••••• F•••••••• S•••••••• L•• national BD
May 26, 2005 to May 31, 2007 · New York, Ny

Moves

a registration end followed by a registration begin elsewhere

L•••••• I••••••••• to C•••••• A•••••••
left Jan 8, 2024, registered Jul 11, 2022 (-546 days) · RIA to affiliated broker-dealer or bank
C•••••• A••••••• to L•• F•••••••• L••
left Jan 8, 2024, registered Jan 8, 2024 (0 days) · Affiliated broker-dealer or bank to another
C•••••• S••••• • C••• I••• to L•••••• I•••••••••
left Jul 6, 2022, registered Jul 11, 2022 (5 days) · Affiliated broker-dealer or bank to independent RIA
M••••• S•••••• to C•••••• S••••• • C••• I•••
left Dec 16, 2010, registered Apr 20, 2011 (125 days) · Wirehouse to affiliated broker-dealer or bank
P•••• S••••••••• L•• to M••••• S••••••
left Dec 11, 2009, registered Dec 18, 2009 (7 days) · Other
N•••••• I••••••••• I••• to P•••• S••••••••• L••
left Feb 6, 2008, registered Feb 14, 2008 (8 days) · Other
A••••••••• F•••••••• S•••••••• L•• to N•••••• I••••••••• I•••
left May 31, 2007, registered Jun 12, 2007 (12 days) · Other

Signals

J••••••• S•••• H•••• left L•••••• I••••••••• for L•• F•••••••• L•• (registered 2024-01-08)
Jan 8, 2024 · Advisor changed firm · fact
J••••••• S•••• H•••• left C•••••• A••••••• for L•••••• I••••••••• (registered 2022-07-11)
Jan 8, 2024 · Advisor changed firm · fact
J••••••• S•••• H•••• left C•••••• S••••• • C••• I••• for C•••••• A••••••• (registered 2022-07-11)
Jul 6, 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: 25derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address