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.
Registered advisor
Samuel Horn
Feed of 09/14/2026
Also filed as Samuel Horn
At current firm
0 y
since Oct 1, 2025
In the industry
11 y
since Sep 1, 2015 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
3
dated events on this person
Registration history
IAPD current and previous registrations
- J.P. Morgan Securities LLC wirehouse currentsince Oct 1, 2025 · New York, Ny
- Tlg Advisors, Inc. BD affiliatedJul 29, 2025 to Oct 8, 2025 · Summit, Nj
- Oppenheimer & Co. Inc. BD affiliatedJul 6, 2023 to Feb 12, 2024 · New York, Ny
- Park Avenue Securities LLC BD affiliatedFeb 9, 2023 to Jul 6, 2023 · New York, Ny
Moves
a registration end followed by a registration begin elsewhere
- Tlg Advisors, Inc. to J.P. Morgan Securities LLCleft Oct 8, 2025, registered Oct 1, 2025 (-7 days) · Affiliated broker-dealer or bank to wirehouse
- Oppenheimer & Co. Inc. to Tlg Advisors, Inc.left Feb 12, 2024, registered Jul 29, 2025 (533 days) · Affiliated broker-dealer or bank to another
- Park Avenue Securities LLC to Oppenheimer & Co. Inc.left Jul 6, 2023, registered Jul 6, 2023 (0 days) · Affiliated broker-dealer or bank to another
Signals
- Samuel Horn left Tlg Advisors, Inc. for J.P. Morgan Securities Llc (registered 2025-10-01)Oct 8, 2025 · Advisor changed firm · fact
- Samuel Horn left Oppenheimer & Co. Inc. for Tlg Advisors, Inc. (registered 2025-07-29)Feb 12, 2024 · Advisor changed firm · fact
- Samuel Horn left Park Avenue Securities Llc for Oppenheimer & Co. Inc. (registered 2023-07-06)Jul 6, 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
- Wirehousederived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address