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

B•••••• G• H•••

J••• M••••• S••••••••• L••wirehouseMount Dora, Fldual registrantIAPD 5452814

Feed of 09/14/2026

At current firm

5 y

since Mar 29, 2021

In the industry

18 y

since Jan 23, 2008 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

J••• M••••• S••••••••• L•• wirehouse current
since Mar 29, 2021 · Mount Dora, Fl
C•••••• S••••• • C••• I••• national BD
May 15, 2018 to Mar 26, 2021 · Tucson, Az
T• A••••••••• I••• former
Feb 28, 2018 to Apr 23, 2018 · Tucson, Az
T• A••••••••• I••••••••• M••••••••• L•• former
Feb 26, 2018 to Apr 23, 2018 · Omaha, Ne
S•••••••• I••••••••• M••••••••• former
Aug 30, 2017 to Feb 26, 2018 · Saint Louis, Mo
S•••••••• A••••••• L•• national BD
Aug 27, 2010 to Mar 19, 2013 · Jacksonville, Fl

Moves

a registration end followed by a registration begin elsewhere

C•••••• S••••• • C••• I••• to J••• M••••• S••••••••• L••
left Mar 26, 2021, registered Mar 29, 2021 (3 days) · Affiliated broker-dealer or bank to wirehouse
T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••
left Apr 23, 2018, registered Feb 28, 2018 (-54 days) · channel change inside one enterprise, not a move · moved with a team
T• A••••••••• I••• to C•••••• S••••• • C••• I•••
left Apr 23, 2018, registered May 15, 2018 (22 days) · Other
S•••••••• I••••••••• M••••••••• to T• A••••••••• I••••••••• M••••••••• L••
left Feb 26, 2018, registered Feb 26, 2018 (0 days) · corporate re-registration, not a move
S•••••••• A••••••• L•• to S•••••••• I••••••••• M•••••••••
left Mar 19, 2013, registered Aug 30, 2017 (1625 days) · Other

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: Wirehousederived
Years in industry: 18derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address