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

J•••••• L•• C••••••

H•••••••• A•••••••• L••BD affiliatedWest Port, Ct dual registrantIAPD 1649445

Certified Financial Planner · Chartered Financial Consultant

Feed of 09/15/2026

At current firm

9 y

since Oct 14, 2016

In the industry

39 y

since Apr 29, 1987 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

H•••••••• A•••••••• L•• BD affiliated current
since Oct 14, 2016 · Chicago, Il
R••••••••• D••••• • M••••••••• I•• former
Jan 24, 2013 to Oct 17, 2016 · Westport, Ct
M•• F•••••••• S•••••••• I••• former
Nov 17, 2009 to Jan 23, 2013 · Stamford, Ct
M•• F•••••••• S•••••••• I••• former
Apr 18, 2006 to Nov 16, 2009 · Shelton, Ct
R••• A•••••••• L•• former
Jul 26, 2005 to Mar 14, 2006 · Danbury, Ct
C•••• I••••••••• S••••••• C•••• former
Oct 15, 2002 to Jul 11, 2005 · Stamford, Ct

Moves

a registration end followed by a registration begin elsewhere

R••••••••• D••••• • M••••••••• I•• to H•••••••• A•••••••• L••
left Oct 17, 2016, registered Oct 14, 2016 (-3 days) · Other · moved with a team
M•• F•••••••• S•••••••• I••• to R••••••••• D••••• • M••••••••• I••
left Jan 23, 2013, registered Jan 24, 2013 (1 days) · Other
R••• A•••••••• L•• to M•• F•••••••• S•••••••• I•••
left Mar 14, 2006, registered Apr 18, 2006 (35 days) · Other
C•••• I••••••••• S••••••• C•••• to R••• A•••••••• L••
left Jul 11, 2005, registered Jul 26, 2005 (15 days) · Other

Signals

No dated event on this person.

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: 39derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address