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••• E•••••••

C••••• I••••••••• A••••••• L••BD affiliatedRaleigh, Ncdual registrantIAPD 5581440

Feed of 09/14/2026

Also filed as H•••Ien E•••••••

At current firm

1 y

since Sep 5, 2025

In the industry

17 y

since Oct 17, 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

C••••• I••••••••• A••••••• L•• BD affiliated current
since Sep 5, 2025 · Raleigh, Nc
A•••••• A••••••• S••••••• former
Nov 17, 2023 to Sep 5, 2025 · Dallas, Tx
C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated
Apr 23, 2021 to Nov 24, 2023 · Raleigh, Nc
O•••• F•• I••• former
Dec 19, 2019 to Apr 26, 2021 · Raleigh, Nc
W•••• F•••• A••••••• wirehouse
Nov 2, 2017 to Jan 2, 2020 · Raleigh, Nc
P•• W••••• M••••••••• BD affiliated
Nov 2, 2012 to Nov 6, 2017 · Durham, Nc
E••••• J•••• national BD
Nov 7, 2008 to Sep 13, 2012 · Raleigh, Nc

Moves

a registration end followed by a registration begin elsewhere

A•••••• A••••••• S••••••• to C••••• I••••••••• A••••••• L••
left Sep 5, 2025, registered Sep 5, 2025 (0 days) · corporate re-registration, not a move
C•••••••• I••••••••• R••••••• A•••••••• I••• to A•••••• A••••••• S•••••••
left Nov 24, 2023, registered Nov 17, 2023 (-7 days) · Affiliated broker-dealer or bank to another
O•••• F•• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••
left Apr 26, 2021, registered Apr 23, 2021 (-3 days) · corporate re-registration, not a move
W•••• F•••• A••••••• to O•••• F•• I•••
left Jan 2, 2020, registered Dec 19, 2019 (-14 days) · Wirehouse to affiliated broker-dealer or bank
P•• W••••• M••••••••• to W•••• F•••• A•••••••
left Nov 6, 2017, registered Nov 2, 2017 (-4 days) · Other
E••••• J•••• to P•• W••••• M•••••••••
left Sep 13, 2012, registered Nov 2, 2012 (50 days) · Other

Signals

H••• E••••••• left C•••••••• I••••••••• R••••••• A•••••••• I••• for A•••••• A••••••• S••••••• (registered 2023-11-17)
Nov 24, 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: Broker-dealer affiliated wealth managerderived
Years in industry: 17derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address