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• H•••

M••••• S••••••wirehouseCharlotte, Ncdual registrantIAPD 5189306

Feed of 09/14/2026

Also filed as H••••• Rene H•••

At current firm

2 y

since Dec 15, 2023

In the industry

13 y

since Apr 4, 2013 (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

M••••• S•••••• wirehouse current
since Dec 15, 2023 · Charlotte, Nc
J••• M••••• S••••••••• L•• wirehouse
Nov 3, 2021 to Nov 25, 2023 · Los Angeles, Ca
M••••• S•••••• wirehouse
Jun 17, 2015 to Oct 28, 2021 · Santa Monica, Ca
N••••••••• M••••• I••••••••• S••••••••• no RAUM
Feb 18, 2014 to Jun 11, 2015 · Los Angeles, Ca
W•••••• • R••• former
Apr 5, 2013 to Jan 21, 2014 · Torrance, Ca

Moves

a registration end followed by a registration begin elsewhere

J••• M••••• S••••••••• L•• to M••••• S••••••
left Nov 25, 2023, registered Dec 15, 2023 (20 days) · Wirehouse to wirehouse
M••••• S•••••• to J••• M••••• S••••••••• L••
left Oct 28, 2021, registered Nov 3, 2021 (6 days) · Wirehouse to wirehouse
N••••••••• M••••• I••••••••• S••••••••• to M••••• S••••••
left Jun 11, 2015, registered Jun 17, 2015 (6 days) · Other
W•••••• • R••• to N••••••••• M••••• I••••••••• S•••••••••
left Jan 21, 2014, registered Feb 18, 2014 (28 days) · Other

Signals

H••••• R• H••• left J••• M••••• S••••••••• L•• for M••••• S•••••• (registered 2023-12-15)
Nov 25, 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: Wirehousederived
Years in industry: 13derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address