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

K•••••••• H•••••• H•••••

R•••••• J•••• F•••••••• S••••••• A•••••••• I••BD affiliatedEagle, Iddual registrantIAPD 5988411

Feed of 09/14/2026

Also filed as Katherine Heather Sullins

At current firm

1 y

since Dec 16, 2024

In the industry

12 y

since May 15, 2014 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated current
since Dec 16, 2024 · Eagle, Id
T••••• A••••••• S•••••••• I••• BD affiliated
Jul 26, 2022 to Dec 16, 2024 · Ponte Vedra, Fl
C••••••• W••••• M••••••••• I••• former
Mar 4, 2020 to Sep 20, 2021 · Alexandria, Va
W•••• F•••• A••••••• wirehouse
Apr 18, 2016 to Oct 21, 2019 · Holladay, Ut
U•• F•••••••• S••••••• I••• wirehouse
May 15, 2014 to May 4, 2016 · Salt Lake City, Ut

Moves

a registration end followed by a registration begin elsewhere

T••••• A••••••• S•••••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••
left Dec 16, 2024, registered Dec 16, 2024 (0 days) · Affiliated broker-dealer or bank to another
C••••••• W••••• M••••••••• I••• to T••••• A••••••• S•••••••• I•••
left Sep 20, 2021, registered Jul 26, 2022 (309 days) · RIA to affiliated broker-dealer or bank
W•••• F•••• A••••••• to C••••••• W••••• M••••••••• I•••
left Oct 21, 2019, registered Mar 4, 2020 (135 days) · Wirehouse to independent RIA
U•• F•••••••• S••••••• I••• to W•••• F•••• A•••••••
left May 4, 2016, registered Apr 18, 2016 (-16 days) · Wirehouse to wirehouse · moved with a team

Signals

K•••••••• H•••••• H••••• left T••••• A••••••• S•••••••• I••• for R•••••• J•••• F•••••••• S••••••• A•••••••• I•• (registered 2024-12-16)
Dec 16, 2024 · 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: 12derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address