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••• A•••••••• H••••

R•••••• J•••• • A••••••••• I•••national BDLakewood Ranch, Fldual registrantIAPD 6801596

Certified Financial Planner

Feed of 09/14/2026

Also filed as C••• A•••••••• H••••

At current firm

1 y

since Apr 4, 2025

In the industry

12 y

since Aug 1, 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•••• • A••••••••• I••• national BD current
since Apr 4, 2025 · Lakewood Ranch, Fl
T••••• A••••••• S•••••••• I••• BD affiliated
Mar 13, 2023 to Mar 12, 2025 · Tampa, Fl
U•• F•••••••• S••••••• I••• wirehouse
Sep 14, 2021 to Feb 15, 2023 · Tampa, Fl
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Feb 22, 2021 to Sep 10, 2021 · Seattle, Wa

Moves

a registration end followed by a registration begin elsewhere

T••••• A••••••• S•••••••• I••• to R•••••• J•••• • A••••••••• I•••
left Mar 12, 2025, registered Apr 4, 2025 (23 days) · Affiliated broker-dealer or bank to another
U•• F•••••••• S••••••• I••• to T••••• A••••••• S•••••••• I•••
left Feb 15, 2023, registered Mar 13, 2023 (26 days) · Wirehouse to affiliated broker-dealer or bank
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U•• F•••••••• S••••••• I•••
left Sep 10, 2021, registered Sep 14, 2021 (4 days) · Wirehouse to wirehouse

Signals

C••• A•••••••• H•••• left T••••• A••••••• S•••••••• I••• for R•••••• J•••• • A••••••••• I••• (registered 2025-04-04)
Mar 12, 2025 · Advisor changed firm · fact
C••• A•••••••• H•••• left U•• F•••••••• S••••••• I••• for T••••• A••••••• S•••••••• I••• (registered 2023-03-13)
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: 12derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address