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

M•••••• N••••• H••••••

R•••••• J•••• F•••••••• S••••••• A•••••••• I••BD affiliatedRoanoke, Vadual registrantIAPD 4625400

Feed of 09/14/2026

Also filed as M•••••• N••••• H••••••

At current firm

0 y

since Nov 4, 2025

In the industry

23 y

since May 30, 2003 (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

R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated current
since Nov 4, 2025 · Roanoke, Va
W•••• F•••• A••••••• wirehouse
Oct 8, 2019 to Nov 10, 2025 · Roanoke, Va
T••••• A••••••• S•••••••• I••• BD affiliated
Sep 20, 2016 to Oct 15, 2019 · Forest, Va
S••••••• I••••••••• S•••••••• I••• former
Sep 26, 2014 to Dec 31, 2016 · Forest, Va
B••• I••••••••• S•••••••• I••• former
Jun 15, 2010 to Sep 22, 2014 · Vinton, Va
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Dec 3, 2007 to Dec 22, 2008 · Roanoke, Va
E•••••••• A•••••••• L•• national BD
Jun 2, 2003 to Nov 19, 2007 · Roanoke, Va

Moves

a registration end followed by a registration begin elsewhere

W•••• F•••• A••••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••
left Nov 10, 2025, registered Nov 4, 2025 (-6 days) · Wirehouse to affiliated broker-dealer or bank
T••••• A••••••• S•••••••• I••• to W•••• F•••• A•••••••
left Oct 15, 2019, registered Oct 8, 2019 (-7 days) · Affiliated broker-dealer or bank to wirehouse
S••••••• I••••••••• S•••••••• I••• to T••••• A••••••• S•••••••• I•••
left Dec 31, 2016, registered Sep 20, 2016 (-102 days) · corporate re-registration, not a move
B••• I••••••••• S•••••••• I••• to S••••••• I••••••••• S•••••••• I•••
left Sep 22, 2014, registered Sep 26, 2014 (4 days) · Other
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to B••• I••••••••• S•••••••• I•••
left Dec 22, 2008, registered Jun 15, 2010 (540 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
E•••••••• A•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Nov 19, 2007, registered Dec 3, 2007 (14 days) · Affiliated broker-dealer or bank to wirehouse

Signals

M•••••• N••••• H•••••• left W•••• F•••• A••••••• for R•••••• J•••• F•••••••• S••••••• A•••••••• I•• (registered 2025-11-04)
Nov 10, 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: 23derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address