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

C•••••••• H••• Z•••••

E••••• J••••national BDSt. Louis, Mo dual registrantIAPD 6163480

Feed of 09/15/2026

Also filed as C•••••••• Smith

At current firm

1 y

since Jun 24, 2025

In the industry

12 y

since Dec 1, 2013 (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 Jun 24, 2025 · St. Louis, Mo
R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated
Aug 2, 2022 to Jun 25, 2025 · Saint Petersburg, Fl
R•••••• J•••• • A••••••••• I••• national BD
May 13, 2022 to Jun 25, 2025 · Page, Az
C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated
Nov 3, 2021 to Apr 27, 2022 · Page, Az
R•••••• J•••• • A••••••••• I••• national BD
Jun 24, 2021 to Oct 22, 2021 · Page, Az
C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated
Dec 14, 2016 to May 7, 2021 · Fairfield, Ia

Moves

a registration end followed by a registration begin elsewhere

R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to E••••• J••••
left Jun 25, 2025, registered Jun 24, 2025 (-1 days) · Affiliated broker-dealer or bank to another
R•••••• J•••• • A••••••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••
left Jun 25, 2025, registered Aug 2, 2022 (-1058 days) · Affiliated broker-dealer or bank to another
C•••••••• I••••••••• R••••••• A•••••••• I••• to R•••••• J•••• • A••••••••• I•••
left Apr 27, 2022, registered May 13, 2022 (16 days) · Affiliated broker-dealer or bank to another
R•••••• J•••• • A••••••••• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••
left Oct 22, 2021, registered Nov 3, 2021 (12 days) · Affiliated broker-dealer or bank to another
C•••••••• I••••••••• R••••••• A•••••••• I••• to R•••••• J•••• • A••••••••• I•••
left May 7, 2021, registered Jun 24, 2021 (48 days) · Affiliated broker-dealer or bank to another

Signals

C•••••••• H••• Z••••• left R•••••• J•••• F•••••••• S••••••• A•••••••• I•• for E••••• J•••• (registered 2025-06-24)
Jun 25, 2025 · Advisor changed firm · fact
C•••••••• H••• Z••••• left R•••••• J•••• • A••••••••• I••• for R•••••• J•••• F•••••••• S••••••• A•••••••• I•• (registered 2022-08-02)
Jun 25, 2025 · Advisor changed firm · fact
C•••••••• H••• Z••••• left C•••••••• I••••••••• R••••••• A•••••••• I••• for R•••••• J•••• • A••••••••• I••• (registered 2022-05-13)
Apr 27, 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: 12derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address