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

A•• H• E•••

M•••••• L••••• P•••••• F••••• • S•••• I•••••••••wirehouseHuntington, Wv dual registrantIAPD 4667976

Feed of 09/15/2026

Also filed as Ann Heintzman Morris

At current firm

2 y

since May 10, 2024

In the industry

21 y

since Jul 25, 2005 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse current
since May 10, 2024 · Louisville, Ky
R••••• W• B•••• • C•• I••••••••• mixed wealth
Nov 28, 2022 to Mar 20, 2024 · Louisville, Ky
E••••• J•••• national BD
May 9, 2016 to Nov 30, 2022 · Louisville, Ky
E••••• J•••• national BD
Apr 4, 2014 to Mar 9, 2015 · Louisville, Ky
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Nov 2, 2012 to Mar 21, 2014 · Louisville, Ky
U•• F•••••••• S••••••• I••• wirehouse
Feb 3, 2011 to Nov 12, 2012 · Louisville, Ky
O•• C•••••• A••••••• unclassified
Oct 13, 2009 to Feb 2, 2011 · Jeffersonville, In
L•• F•••••••• L•• BD affiliated
Jun 24, 2009 to Oct 16, 2009 · Louisville, Ky

Moves

a registration end followed by a registration begin elsewhere

R••••• W• B•••• • C•• I••••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Mar 20, 2024, registered May 10, 2024 (51 days) · RIA to wirehouse
E••••• J•••• to R••••• W• B•••• • C•• I•••••••••
left Nov 30, 2022, registered Nov 28, 2022 (-2 days) · Affiliated broker-dealer or bank to independent RIA
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to E••••• J••••
left Mar 21, 2014, registered Apr 4, 2014 (14 days) · Wirehouse to affiliated broker-dealer or bank
U•• F•••••••• S••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Nov 12, 2012, registered Nov 2, 2012 (-10 days) · Wirehouse to wirehouse
O•• C•••••• A••••••• to U•• F•••••••• S••••••• I•••
left Feb 2, 2011, registered Feb 3, 2011 (1 days) · Other
L•• F•••••••• L•• to O•• C•••••• A•••••••
left Oct 16, 2009, registered Oct 13, 2009 (-3 days) · Other

Signals

A•• H• E••• left R••••• W• B•••• • C•• I••••••••• for M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (registered 2024-05-10)
Mar 20, 2024 · Advisor changed firm · fact
A•• H• E••• left E••••• J•••• for R••••• W• B•••• • C•• I••••••••• (registered 2022-11-28)
Nov 30, 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: Wirehousederived
Years in industry: 21derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address