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••• H••••••••

E••••• J••••national BDMocksville, Ncdual registrantIAPD 6125058

Certified Financial Planner

Feed of 09/14/2026

Also filed as E••• H••••••••

At current firm

3 y

since Mar 24, 2023

In the industry

13 y

since Nov 1, 2012 (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

E••••• J•••• national BD current
since Mar 24, 2023 · Mocksville, Nc
T• A••••••••• I••••••••• M••••••••• L•• former
Jan 28, 2019 to Feb 15, 2023 · Winston Slaem, Nc
T• A••••••••• I••• former
Jan 28, 2019 to Oct 14, 2022 · Winston-Salem, Nc
P•• W••••• M••••••••• BD affiliated
Dec 13, 2017 to Nov 5, 2018 · Clemmons, Nc
E••••• J•••• national BD
Dec 18, 2012 to Oct 5, 2017 · Clemmons, Nc

Moves

a registration end followed by a registration begin elsewhere

T• A••••••••• I••••••••• M••••••••• L•• to E••••• J••••
left Feb 15, 2023, registered Mar 24, 2023 (37 days) · RIA to affiliated broker-dealer or bank
T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••
left Oct 14, 2022, registered Jan 28, 2019 (-1355 days) · corporate re-registration, not a move
P•• W••••• M••••••••• to T• A••••••••• I•••
left Nov 5, 2018, registered Jan 28, 2019 (84 days) · Other
E••••• J•••• to P•• W••••• M•••••••••
left Oct 5, 2017, registered Dec 13, 2017 (69 days) · Affiliated broker-dealer or bank to another

Signals

E••• H•••••••• left T• A••••••••• I••••••••• M••••••••• L•• for E••••• J•••• (registered 2023-03-24)
Feb 15, 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: National broker-dealer RIAderived
Years in industry: 13derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address