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••••• T••••• H•••••

C•••••• S••••• • C••• I•••national BDGlen Allen, Vadual registrantIAPD 5014929

Certified Financial Planner

Feed of 09/14/2026

Also filed as R••••• H•••••

At current firm

6 y

since Nov 8, 2019

In the industry

20 y

since Oct 14, 2005 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

C•••••• S••••• • C••• I••• national BD current
since Nov 8, 2019 · Glen Allen, Va
T•• M••••• G••••• L•• independent RIA
Aug 3, 2018 to Oct 28, 2019 · Chicago, Il
C•••••• S••••• • C••• I••• national BD
May 4, 2016 to Jul 19, 2018 · Glen Allen, Va
A••••• A•• P••••••• S••••••• BD affiliated
Oct 2, 2014 to Apr 6, 2016 · Jacksonville, Fl
S•••••••• A••••••• L•• national BD
Aug 19, 2010 to Aug 18, 2014 · Jacksonville, Fl
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Mar 6, 2007 to May 17, 2007 · Raleigh, Nc

Moves

a registration end followed by a registration begin elsewhere

T•• M••••• G••••• L•• to C•••••• S••••• • C••• I•••
left Oct 28, 2019, registered Nov 8, 2019 (11 days) · RIA to affiliated broker-dealer or bank
C•••••• S••••• • C••• I••• to T•• M••••• G••••• L••
left Jul 19, 2018, registered Aug 3, 2018 (15 days) · Affiliated broker-dealer or bank to independent RIA
A••••• A•• P••••••• S••••••• to C•••••• S••••• • C••• I•••
left Apr 6, 2016, registered May 4, 2016 (28 days) · Other
S•••••••• A••••••• L•• to A••••• A•• P••••••• S•••••••
left Aug 18, 2014, registered Oct 2, 2014 (45 days) · Other
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to S•••••••• A••••••• L••
left May 17, 2007, registered Aug 19, 2010 (1190 days) · Wirehouse to affiliated broker-dealer or bank

Signals

No dated event on this person.

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: 20derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address