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

H••••• L•••••• R••••

P•••••• A•••••• G••••• L••BD affiliatedGeorgetown, Tx IA-onlyIAPD 1313348

Feed of 09/15/2026

Also filed as H••••• L R••••

At current firm

3 y

since Aug 16, 2023

In the industry

35 y

since Jul 1, 1991 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

n/a

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

P•••••• A•••••• G••••• L•• BD affiliated current
since Aug 16, 2023 · Morristown, Nj
C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated
Nov 27, 2018 to Aug 25, 2023 · West Hartford, Ct
O•••••••• • L••••••• I••• former
Apr 1, 2018 to Dec 31, 2018 · West Hartford, Ct
N•• E•••••• G•••• W••••• A•••••••• I••• former
Aug 23, 1991 to May 2, 2018 · Hartford, Ct

Moves

a registration end followed by a registration begin elsewhere

C•••••••• I••••••••• R••••••• A•••••••• I••• to P•••••• A•••••• G••••• L••
left Aug 25, 2023, registered Aug 16, 2023 (-9 days) · Affiliated broker-dealer or bank to another
O•••••••• • L••••••• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••
left Dec 31, 2018, registered Nov 27, 2018 (-34 days) · RIA to affiliated broker-dealer or bank
N•• E•••••• G•••• W••••• A•••••••• I••• to O•••••••• • L••••••• I•••
left May 2, 2018, registered Apr 1, 2018 (-31 days) · RIA to RIA

Signals

H••••• L•••••• R•••• left C•••••••• I••••••••• R••••••• A•••••••• I••• for P•••••• A•••••• G••••• L•• (registered 2023-08-16)
Aug 25, 2023 · a•••••• firm change · 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: 35derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address