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••••• M••••• G•••••••

E••••• J••••national BDSanta Cruz, Ca dual registrantIAPD 5756135

Certified Financial Planner

Feed of 09/15/2026

Also filed as H••••• M G•••••••

At current firm

1 y

since Jan 3, 2025

In the industry

17 y

since Jul 1, 2009 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

E••••• J•••• national BD current
since Jan 3, 2025 · Hollister, Ca
F••••••• P••••••• A•• W•••••••• A••••••• former
Jun 10, 2022 to Jan 6, 2025 · Hollister, Ca
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Mar 6, 2019 to Apr 28, 2022 · San Jose, Ca
J••• M••••• S••••••••• L•• wirehouse
Mar 13, 2015 to Mar 15, 2019 · Campbell, Ca

Moves

a registration end followed by a registration begin elsewhere

F••••••• P••••••• A•• W•••••••• A••••••• to E••••• J••••
left Jan 6, 2025, registered Jan 3, 2025 (-3 days) · Affiliated broker-dealer or bank to another
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to F••••••• P••••••• A•• W•••••••• A•••••••
left Apr 28, 2022, registered Jun 10, 2022 (43 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
J••• M••••• S••••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Mar 15, 2019, registered Mar 6, 2019 (-9 days) · Wirehouse to wirehouse

Signals

H••••• M••••• G••••••• left F••••••• P••••••• A•• W•••••••• A••••••• for E••••• J•••• (registered 2025-01-03)
Jan 6, 2025 · Advisor changed firm · fact
H••••• M••••• G••••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for F••••••• P••••••• A•• W•••••••• A••••••• (registered 2022-06-10)
Apr 28, 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: National broker-dealer RIAderived
Years in industry: 17derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address