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•••• R• R••••

U•• F•••••••• S••••••• I•••wirehouseDenver, Codual registrantIAPD 4991411

Feed of 09/14/2026

Also filed as H•••• R Thompson

At current firm

3 y

since Jan 9, 2023

In the industry

16 y

since Oct 9, 2009 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

U•• F•••••••• S••••••• I••• wirehouse current
since Jan 9, 2023 · Denver, Co
A•••• I••••••••• G•••• independent RIA
Feb 16, 2022 to Dec 31, 2022 · Pueblo West, Co
C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated
Oct 1, 2021 to Feb 23, 2022 · Pueblo West, Co
H•••••••• A•••••••• L•• BD affiliated
Apr 21, 2017 to Jun 22, 2021 · Colorado Springs, Co
U•• F•••••••• S••••••• I••• wirehouse
Oct 13, 2009 to May 15, 2017 · Colorado Springs, Co

Moves

a registration end followed by a registration begin elsewhere

A•••• I••••••••• G•••• to U•• F•••••••• S••••••• I•••
left Dec 31, 2022, registered Jan 9, 2023 (9 days) · RIA to wirehouse
C•••••••• I••••••••• R••••••• A•••••••• I••• to A•••• I••••••••• G••••
left Feb 23, 2022, registered Feb 16, 2022 (-7 days) · Affiliated broker-dealer or bank to a newly registered adviser
H•••••••• A•••••••• L•• to C•••••••• I••••••••• R••••••• A•••••••• I•••
left Jun 22, 2021, registered Oct 1, 2021 (101 days) · Affiliated broker-dealer or bank to another
U•• F•••••••• S••••••• I••• to H•••••••• A•••••••• L••
left May 15, 2017, registered Apr 21, 2017 (-24 days) · Other · moved with a team

Signals

H•••• R• R•••• left A•••• I••••••••• G•••• for U•• F•••••••• S••••••• I••• (registered 2023-01-09)
Dec 31, 2022 · Advisor changed firm · fact
H•••• R• R•••• left C•••••••• I••••••••• R••••••• A•••••••• I••• for A•••• I••••••••• G•••• (registered 2022-02-16)
Feb 23, 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: 16derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address