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

P•••••• M• H•••••

S••BD affiliatedLyndonville, Vt dual registrantIAPD 4759452

Feed of 09/15/2026

Also filed as P•••••• M• H•••••

At current firm

1 y

since May 28, 2025

In the industry

22 y

since Jul 1, 2004 (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

S•• BD affiliated current
since May 28, 2025 · Ann Arbor, Mi
E•••• S••••••••• L•• BD affiliated
Mar 20, 2020 to Oct 31, 2024 · Windsor, Ct
P••• A••••• S••••••••• L•• BD affiliated
Mar 27, 2019 to Feb 6, 2020 · Farmington, Ct
M•• I•••••••• S•••••••• L•• BD affiliated
Jun 1, 2017 to Mar 15, 2019 · Holyoke, Ma
A••••••••• F•••••••• S•••••••• L•• national BD
Apr 23, 2014 to Aug 4, 2015 · Birmingham, Mi

Moves

a registration end followed by a registration begin elsewhere

E•••• S••••••••• L•• to S••
left Oct 31, 2024, registered May 28, 2025 (209 days) · Affiliated broker-dealer or bank to another
P••• A••••• S••••••••• L•• to E•••• S••••••••• L••
left Feb 6, 2020, registered Mar 20, 2020 (43 days) · Affiliated broker-dealer or bank to another
M•• I•••••••• S•••••••• L•• to P••• A••••• S••••••••• L••
left Mar 15, 2019, registered Mar 27, 2019 (12 days) · Affiliated broker-dealer or bank to another
A••••••••• F•••••••• S•••••••• L•• to M•• I•••••••• S•••••••• L••
left Aug 4, 2015, registered Jun 1, 2017 (667 days) · Other

Signals

P•••••• M• H••••• left E•••• S••••••••• L•• for Spc (registered 2025-05-28)
Oct 31, 2024 · 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: 22derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address