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

E••••• M•••••• H•••••

K•• I••••••••• S••••••• L••BD affiliatedBrooklyn, Oh dual registrantIAPD 5755754

Feed of 09/15/2026

Also filed as E••••• M H•••••

At current firm

2 y

since Nov 13, 2023

In the industry

16 y

since Mar 9, 2010 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

K•• I••••••••• S••••••• L•• BD affiliated current
since Nov 13, 2023 · Hillsboro, Or
W•••• F•••• A••••••• wirehouse
Dec 4, 2017 to Oct 19, 2023 · Portland, Or
J••• M••••• S••••••••• L•• wirehouse
May 16, 2013 to Dec 13, 2017 · Portland, Or
M••••• S•••••• wirehouse
Dec 21, 2012 to Jun 4, 2013 · San Antonio, Tx
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Aug 22, 2011 to Dec 11, 2012 · Anniston, Al

Moves

a registration end followed by a registration begin elsewhere

W•••• F•••• A••••••• to K•• I••••••••• S••••••• L••
left Oct 19, 2023, registered Nov 13, 2023 (25 days) · Wirehouse to affiliated broker-dealer or bank
J••• M••••• S••••••••• L•• to W•••• F•••• A•••••••
left Dec 13, 2017, registered Dec 4, 2017 (-9 days) · Wirehouse to wirehouse
M••••• S•••••• to J••• M••••• S••••••••• L••
left Jun 4, 2013, registered May 16, 2013 (-19 days) · Wirehouse to wirehouse
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S••••••
left Dec 11, 2012, registered Dec 21, 2012 (10 days) · Wirehouse to wirehouse

Signals

E••••• M•••••• H••••• left W•••• F•••• A••••••• for K•• I••••••••• S••••••• L•• (registered 2023-11-13)
Oct 19, 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: 16derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address