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

R•••••• J•••• H••••••

A••••••••• F•••••••• S•••••••• L••national BDMontgomery, Oh dual registrantIAPD 4772400

Certified Financial Planner

Feed of 09/15/2026

Also filed as R•••••• J•••• H••••••

At current firm

1 y

since Oct 17, 2024

In the industry

22 y

since Jun 29, 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

A••••••••• F•••••••• S•••••••• L•• national BD current
since Oct 17, 2024 · Cincinnati, Oh
H••••• I••••••••• M••••••••• L•• independent RIA
Aug 2, 2023 to Sep 16, 2024 · Cincinnati, Oh
F••••••• P••••••• A•• W•••••••• A••••••• former
Jul 13, 2018 to Jul 17, 2023 · Boston, Ma
S•••••••• A••••••• L•• national BD
Nov 20, 2009 to Jul 13, 2018 · Covington, Ky

Moves

a registration end followed by a registration begin elsewhere

H••••• I••••••••• M••••••••• L•• to A••••••••• F•••••••• S•••••••• L••
left Sep 16, 2024, registered Oct 17, 2024 (31 days) · RIA to affiliated broker-dealer or bank
F••••••• P••••••• A•• W•••••••• A••••••• to H••••• I••••••••• M••••••••• L••
left Jul 17, 2023, registered Aug 2, 2023 (16 days) · Affiliated broker-dealer or bank to independent RIA
S•••••••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••
left Jul 13, 2018, registered Jul 13, 2018 (0 days) · corporate re-registration, not a move

Signals

R•••••• J•••• H•••••• left H••••• I••••••••• M••••••••• L•• for A••••••••• F•••••••• S•••••••• L•• (registered 2024-10-17)
Sep 16, 2024 · Advisor changed firm · fact
R•••••• J•••• H•••••• left F••••••• P••••••• A•• W•••••••• A••••••• for H••••• I••••••••• M••••••••• L•• (registered 2023-08-02)
Jul 17, 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: 22derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address