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

B•••••• T•••• H•••••

W•••• F•••• A•••••••wirehouseSarasota, Fldual registrantIAPD 5854961

Feed of 09/14/2026

At current firm

0 y

since Jan 7, 2026

In the industry

15 y

since Oct 1, 2010 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

W•••• F•••• A••••••• wirehouse current
since Jan 7, 2026 · Sarasota, Fl
C•••••• S••••• • C••• I••• national BD
Apr 21, 2022 to Nov 9, 2025 · Sarasota, Fl
T• A••••••••• I••••••••• M••••••••• L•• former
Jul 9, 2013 to Sep 7, 2023 · Omaha, Ne
T• A••••••••• I••• former
Jul 9, 2013 to Oct 14, 2022 · Omaha, Ne

Moves

a registration end followed by a registration begin elsewhere

C•••••• S••••• • C••• I••• to W•••• F•••• A•••••••
left Nov 9, 2025, registered Jan 7, 2026 (59 days) · Affiliated broker-dealer or bank to wirehouse
T• A••••••••• I••••••••• M••••••••• L•• to C•••••• S••••• • C••• I•••
left Sep 7, 2023, registered Apr 21, 2022 (-504 days) · corporate re-registration, not a move
T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••
left Oct 14, 2022, registered Jul 9, 2013 (-3384 days) · corporate re-registration, not a move

Signals

B•••••• T•••• H••••• left C•••••• S••••• • C••• I••• for W•••• F•••• A••••••• (registered 2026-01-07)
Nov 9, 2025 · 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: Wirehousederived
Years in industry: 15derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address