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••••• T••••

S••••• I••••••••• A•••••••• L••independent RIASt. George, Ut IA-onlyIAPD 5155443

Certified Financial Planner

Feed of 09/15/2026

At current firm

0 y

since Mar 31, 2026

In the industry

20 y

since Jul 6, 2006 (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

S••••• I••••••••• A•••••••• L•• independent RIA current
since Mar 31, 2026 · Oakbrook Terrace, Il
M••••• G••••• A••••••• I••• independent RIA
Sep 18, 2024 to Mar 18, 2026 · Denver, Co
A••••• A•• P••••••• S••••••• BD affiliated
Jan 20, 2017 to Nov 13, 2020 · Chicago, Il
N••••• F•••••••• G••••• I••• independent RIA
Jun 21, 2016 to Nov 3, 2016 · Deerfield, Il
T• A••••••••• I••••••••• M••••••••• L•• former
Nov 10, 2008 to May 24, 2016 · Oakbrook, Il
T• A••••••••• I••• former
Nov 10, 2008 to May 24, 2016 · Oak Brook, Il
A••••••••• F•••••••• S•••••••• L•• national BD
Jul 28, 2006 to Oct 28, 2008 · Chicago, Il

Moves

a registration end followed by a registration begin elsewhere

M••••• G••••• A••••••• I••• to S••••• I••••••••• A•••••••• L••
left Mar 18, 2026, registered Mar 31, 2026 (13 days) · RIA to RIA
A••••• A•• P••••••• S••••••• to M••••• G••••• A••••••• I•••
left Nov 13, 2020, registered Sep 18, 2024 (1405 days) · Affiliated broker-dealer or bank to independent RIA
N••••• F•••••••• G••••• I••• to A••••• A•• P••••••• S•••••••
left Nov 3, 2016, registered Jan 20, 2017 (78 days) · Other
T• A••••••••• I••••••••• M••••••••• L•• to N••••• F•••••••• G••••• I•••
left May 24, 2016, registered Jun 21, 2016 (28 days) · Other
T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••
left May 24, 2016, registered Nov 10, 2008 (-2752 days) · channel change inside one enterprise, not a move
A••••••••• F•••••••• S•••••••• L•• to T• A••••••••• I•••
left Oct 28, 2008, registered Nov 10, 2008 (13 days) · Affiliated broker-dealer or bank to a newly registered adviser

Signals

H••••• T•••• left M••••• G••••• A••••••• I••• for S••••• I••••••••• A•••••••• L•• (registered 2026-03-31)
Mar 18, 2026 · 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: 20derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address