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•••••• E••• H••••••

A••••••• C•••••• M••••••••• L••independent RIAMt Kisco, Ny IA-onlyIAPD 4574007

Certified Financial Planner

Feed of 09/14/2026

At current firm

3 y

since Jul 20, 2023

In the industry

19 y

since Nov 1, 2006 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

A••••••• C•••••• M••••••••• L•• independent RIA current
since Jul 20, 2023 · Mt Kisco, Ny
C•••••• independent RIA
Feb 17, 2023 to Jul 19, 2023 · New York, Ny
R•••••••• I••••••••• former
Nov 3, 2010 to Jul 19, 2023 · New York, Ny
F••••• I••••••••• independent RIA
Dec 7, 2006 to Dec 1, 2009 · Plano, Tx

Moves

a registration end followed by a registration begin elsewhere

R•••••••• I••••••••• to C••••••
left Jul 19, 2023, registered Feb 17, 2023 (-152 days) · RIA to RIA · moved with a team
C•••••• to A••••••• C•••••• M••••••••• L••
left Jul 19, 2023, registered Jul 20, 2023 (1 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
F••••• I••••••••• to R•••••••• I•••••••••
left Dec 1, 2009, registered Nov 3, 2010 (337 days) · Other

Signals

T•••••• E••• H•••••• left Corient for A••••••• C•••••• M••••••••• L•• (registered 2023-07-20)
Jul 19, 2023 · Advisor changed firm · fact
T•••••• E••• H•••••• left R•••••••• I••••••••• for Corient (registered 2023-02-17)
Jul 19, 2023 · 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: Independent wealth managerderived
Years in industry: 19derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address