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

J••••• D•••• H•••

J••• M••••• S••••••••• L••wirehouseSeattle, Wadual registrantIAPD 5472014

Feed of 09/14/2026

Also filed as J••••• H•••

At current firm

3 y

since Sep 29, 2022

In the industry

18 y

since Jul 16, 2008 (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

J••• M••••• S••••••••• L•• wirehouse current
since Sep 29, 2022 · Seattle, Wa
U••• B•••••• I••••••••• I••• former
Mar 16, 2022 to Sep 22, 2022 · Seattle, Wa
B•• M••••• S••••••••• C••••••••• other
Apr 17, 2019 to Jul 27, 2020 · Las Vegas, Nv
L•• F•••••••• L•• BD affiliated
Feb 23, 2015 to Jun 23, 2017 · Las Vegas, Nv
Z•••• C•••••• A•••••••• I••• institutional
Oct 29, 2013 to Feb 20, 2015 · Las Vegas, Nv
W•••• F•••• A••••••• wirehouse
Jan 3, 2011 to Oct 15, 2013 · Henderson, Nv
W•••• F•••• I••••••••• L•• unclassified
Dec 3, 2010 to Jan 3, 2011 · San Luis Obispo, Ca
W•••• F•••• A••••••• wirehouse
Aug 13, 2008 to Oct 6, 2010 · Las Vegas, Nv

Moves

a registration end followed by a registration begin elsewhere

U••• B•••••• I••••••••• I••• to J••• M••••• S••••••••• L••
left Sep 22, 2022, registered Sep 29, 2022 (7 days) · Affiliated broker-dealer or bank to wirehouse
B•• M••••• S••••••••• C••••••••• to U••• B•••••• I••••••••• I•••
left Jul 27, 2020, registered Mar 16, 2022 (597 days) · Affiliated broker-dealer or bank to another
L•• F•••••••• L•• to B•• M••••• S••••••••• C•••••••••
left Jun 23, 2017, registered Apr 17, 2019 (663 days) · Other
Z•••• C•••••• A•••••••• I••• to L•• F•••••••• L••
left Feb 20, 2015, registered Feb 23, 2015 (3 days) · Other · moved with a team
W•••• F•••• A••••••• to Z•••• C•••••• A•••••••• I•••
left Oct 15, 2013, registered Oct 29, 2013 (14 days) · Other
W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••
left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move
W•••• F•••• A••••••• to W•••• F•••• I••••••••• L••
left Oct 6, 2010, registered Dec 3, 2010 (58 days) · Other

Signals

J••••• D•••• H••• left U••• B•••••• I••••••••• I••• for J••• M••••• S••••••••• L•• (registered 2022-09-29)
Sep 22, 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: 18derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address