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••• C••• J••••••

S•••••••• A••••••• L••national BDDickinson, Tx dual registrantIAPD 4647079

Feed of 09/15/2026

Also filed as H••• C••• J••••••

At current firm

1 y

since Mar 31, 2025

In the industry

23 y

since Jun 26, 2003 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

S•••••••• A••••••• L•• national BD current
since Mar 31, 2025 · Dickinson, Tx
F••••••• P••••••• A•• W•••••••• A••••••• former
Jun 20, 2023 to Mar 31, 2025 · Katy, Tx
C•••••• S••••• • C••• I••• national BD
May 20, 2019 to Apr 26, 2023 · Houston, Tx
L•• F•••••••• L•• BD affiliated
May 2, 2018 to May 6, 2019 · Missouri City, Tx
C•••••• O•• A•••••••• L•• former
Nov 12, 2015 to Apr 18, 2018 · Spring, Tx
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Sep 25, 2013 to Jul 10, 2014 · Houston, Tx
S•••••••• A••••••• L•• national BD
Nov 15, 2011 to Aug 26, 2013 · Houston, Tx
V•••• F•••••••• A•••••••• I••• BD affiliated
May 26, 2011 to Sep 29, 2011 · Houston, Tx
T• A••••••••• I••••••••• M••••••••• L•• former
Mar 16, 2007 to Jan 14, 2011 · Houston, Tx
T• A••••••••• I••• former
Mar 16, 2007 to Jan 14, 2011 · Houston, Tx
A••••••••• F•••••••• S•••••••• L•• national BD
Aug 5, 2004 to Jun 6, 2005 · Little Rock, Ar

Moves

a registration end followed by a registration begin elsewhere

F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••
left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
C•••••• S••••• • C••• I••• to F••••••• P••••••• A•• W•••••••• A•••••••
left Apr 26, 2023, registered Jun 20, 2023 (55 days) · Affiliated broker-dealer or bank to another
L•• F•••••••• L•• to C•••••• S••••• • C••• I•••
left May 6, 2019, registered May 20, 2019 (14 days) · RIA to affiliated broker-dealer or bank
C•••••• O•• A•••••••• L•• to L•• F•••••••• L••
left Apr 18, 2018, registered May 2, 2018 (14 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••••• O•• A•••••••• L••
left Jul 10, 2014, registered Nov 12, 2015 (490 days) · Other
S•••••••• A••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Aug 26, 2013, registered Sep 25, 2013 (30 days) · Affiliated broker-dealer or bank to wirehouse
V•••• F•••••••• A•••••••• I••• to S•••••••• A••••••• L••
left Sep 29, 2011, registered Nov 15, 2011 (47 days) · Other
T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••
left Jan 14, 2011, registered Mar 16, 2007 (-1400 days) · Other
T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••
left Jan 14, 2011, registered Mar 16, 2007 (-1400 days) · channel change inside one enterprise, not a move
A••••••••• F•••••••• S•••••••• L•• to T• A••••••••• I•••
left Jun 6, 2005, registered Mar 16, 2007 (648 days) · Affiliated broker-dealer or bank to a newly registered adviser

Signals

H••• C••• J•••••• left C•••••• S••••• • C••• I••• for F••••••• P••••••• A•• W•••••••• A••••••• (registered 2023-06-20)
Apr 26, 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: National broker-dealer RIAderived
Years in industry: 23derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address