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.
Registered advisor
Samuel Thomas Henderson
Feed of 09/15/2026
Also filed as Samuel Thomas Henderson
At current firm
7 y
since Apr 17, 2019
In the industry
16 y
since May 7, 2010 (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, S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- Advice And Planning Services BD affiliated currentsince Apr 17, 2019 · Glendale, Co
- MML Investors Services, LLC BD affiliatedJun 6, 2018 to Apr 10, 2019 · Denver, Co
- Edelman Financial Engines independent RIANov 13, 2017 to May 10, 2018 · Northbrook, Il
- Strategic Advisers LLC national BDMay 18, 2015 to Jun 12, 2017 · Denver, Co
- J.P. Morgan Institutional Investments formerSep 12, 2011 to Dec 31, 2011 · Overland Park, Ks
Moves
a registration end followed by a registration begin elsewhere
- MML Investors Services, LLC to Advice And Planning Servicesleft Apr 10, 2019, registered Apr 17, 2019 (7 days) · Affiliated broker-dealer or bank to another
- Edelman Financial Engines to MML Investors Services, LLCleft May 10, 2018, registered Jun 6, 2018 (27 days) · RIA to affiliated broker-dealer or bank
- Strategic Advisers LLC to Edelman Financial Enginesleft Jun 12, 2017, registered Nov 13, 2017 (154 days) · Other
- J.P. Morgan Institutional Investments to Strategic Advisers LLCleft Dec 31, 2011, registered May 18, 2015 (1234 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
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address