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••• H••••••••

C••••••••• F•••••••• N••••••national BDCommerce Township, Mi dual registrantIAPD 2205812

Certified Financial Planner

Feed of 09/15/2026

Also filed as J••••• L••• Ballo

At current firm

3 y

since Apr 25, 2023

In the industry

34 y

since Jan 31, 1992 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

C••••••••• F•••••••• N•••••• national BD current
since Apr 25, 2023 · Commerce Twp, Mi
C•••••• G•••• • C• I•• former
Apr 7, 2021 to Apr 25, 2023 · Syracuse, Ny
C•••• B•••• G•••• former
Mar 2, 2018 to May 1, 2023 · West Bloomfield, Mi
S••••••••• A•••••• A•••••••• I••• former
Dec 8, 2011 to Apr 9, 2019 · West Bloomfield, Mi
T•• P••••••••• A•••••• G••••• L•• unclassified
Apr 15, 2010 to May 24, 2012 · West Bloomfield, Mi
V••• F•••••••• A•••••••• I••• BD affiliated
Nov 3, 2003 to Jun 14, 2004 · Troy , Mi

Moves

a registration end followed by a registration begin elsewhere

C•••• B•••• G•••• to C•••••• G•••• • C• I••
left May 1, 2023, registered Apr 7, 2021 (-754 days) · RIA to affiliated broker-dealer or bank
C•••••• G•••• • C• I•• to C••••••••• F•••••••• N••••••
left Apr 25, 2023, registered Apr 25, 2023 (0 days) · Affiliated broker-dealer or bank to another
S••••••••• A•••••• A•••••••• I••• to C•••• B•••• G••••
left Apr 9, 2019, registered Mar 2, 2018 (-403 days) · Other
T•• P••••••••• A•••••• G••••• L•• to S••••••••• A•••••• A•••••••• I•••
left May 24, 2012, registered Dec 8, 2011 (-168 days) · Other
V••• F•••••••• A•••••••• I••• to T•• P••••••••• A•••••• G••••• L••
left Jun 14, 2004, registered Apr 15, 2010 (2131 days) · Other

Signals

J••••• L••• H•••••••• left C•••• B•••• G•••• for C•••••• G•••• • C• I•• (registered 2021-04-07)
May 1, 2023 · a•••••• firm change · fact
J••••• L••• H•••••••• left C•••••• G•••• • C• I•• for C••••••••• F•••••••• N•••••• (registered 2023-04-25)
Apr 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: National broker-dealer RIAderived
Years in industry: 34derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address