DFX Intelligence
RIA Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Registered advisor
H•••••• A•• B••••
Certified Financial Planner
Feed of 09/14/2026
Also filed as H•••••• Ann Capps
At current firm
1 y
since Nov 14, 2024
In the industry
17 y
since Nov 10, 2008 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- L•• E••••••••• L•• BD affiliated currentsince Nov 14, 2024 · Hendersonville, Nc
- P•••• S••••••••• L•• no RAUMAug 3, 2016 to Nov 14, 2024 · Asheville, Nc
- O•••• I••••••••• I••• BD affiliatedFeb 23, 2013 to Jul 18, 2016 · Asheville, Nc
- L•• F•••••••• L•• BD affiliatedJun 5, 2012 to Feb 21, 2013 · Candler, Nc
- F•••• C••••••• I••••••• S•••••••• I••• BD affiliatedJul 27, 2011 to Jun 1, 2012 · Durham, Nc
Moves
a registration end followed by a registration begin elsewhere
- P•••• S••••••••• L•• to L•• E••••••••• L••left Nov 14, 2024, registered Nov 14, 2024 (0 days) · corporate re-registration, not a move
- O•••• I••••••••• I••• to P•••• S••••••••• L••left Jul 18, 2016, registered Aug 3, 2016 (16 days) · Other
- L•• F•••••••• L•• to O•••• I••••••••• I•••left Feb 21, 2013, registered Feb 23, 2013 (2 days) · Other
- F•••• C••••••• I••••••• S•••••••• I••• to L•• F•••••••• L••left Jun 1, 2012, registered Jun 5, 2012 (4 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
- 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