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••• H• A••••

T••••••• F•••••••• A•••••••• L••independent RIASan Antonio, Tx IA-onlyIAPD 4947204

Certified Financial Planner

Feed of 09/14/2026

At current firm

2 y

since Sep 6, 2024

In the industry

21 y

since Jun 24, 2005 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

T••••••• F•••••••• A•••••••• L•• independent RIA current
since Sep 6, 2024 · Houston, Tx
A••••••••• F•••••••• S•••••••• L•• national BD
Nov 28, 2022 to Sep 13, 2024 · Houston, Tx
B•• F•••••••• A••••••• BD affiliated
Jan 9, 2020 to Dec 5, 2022 · Houston, Tx
W•••• F•••• A••••••• wirehouse
Jul 8, 2016 to Jan 17, 2020 · Houston, Tx
L•• F•••••••• L•• BD affiliated
Oct 31, 2011 to Mar 11, 2015 · Houston, Tx
C•••• I••••••••• S••••••• C•••• former
Apr 29, 2008 to Nov 4, 2011 · South Houston, Tx

Moves

a registration end followed by a registration begin elsewhere

A••••••••• F•••••••• S•••••••• L•• to T••••••• F•••••••• A•••••••• L••
left Sep 13, 2024, registered Sep 6, 2024 (-7 days) · Affiliated broker-dealer or bank to independent RIA
B•• F•••••••• A••••••• to A••••••••• F•••••••• S•••••••• L••
left Dec 5, 2022, registered Nov 28, 2022 (-7 days) · Affiliated broker-dealer or bank to another
W•••• F•••• A••••••• to B•• F•••••••• A•••••••
left Jan 17, 2020, registered Jan 9, 2020 (-8 days) · Wirehouse to affiliated broker-dealer or bank
L•• F•••••••• L•• to W•••• F•••• A•••••••
left Mar 11, 2015, registered Jul 8, 2016 (485 days) · Other
C•••• I••••••••• S••••••• C•••• to L•• F•••••••• L••
left Nov 4, 2011, registered Oct 31, 2011 (-4 days) · Other

Signals

H••• H• A•••• left A••••••••• F•••••••• S•••••••• L•• for T••••••• F•••••••• A•••••••• L•• (registered 2024-09-06)
Sep 13, 2024 · Advisor changed firm · fact
H••• H• A•••• left B•• F•••••••• A••••••• for A••••••••• F•••••••• S•••••••• L•• (registered 2022-11-28)
Dec 5, 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: Independent wealth managerderived
Years in industry: 21derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address