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

D•••• D••••••••• H•••••••

J••• M••••• S••••••••• L••wirehouseAuburn Hills, Mi dual registrantIAPD 2660467

Feed of 09/15/2026

Also filed as D•••• M D•••••••••

At current firm

3 y

since Apr 10, 2023

In the industry

30 y

since Jan 15, 1996 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

J••• M••••• S••••••••• L•• wirehouse current
since Apr 10, 2023 · Auburn Hills, Mi
C••• F•••••••• S•••••••• L••• former
Sep 26, 2022 to Apr 14, 2023 · Auburn Hills, Mi
C••••••• S••••••••• former
Jun 1, 2017 to Sep 7, 2022 · Bloomfield Hills, Mi
R•••••• J•••• • A••••••••• I••• national BD
Dec 8, 2014 to Dec 16, 2016 · Birmingham, Mi
U•• F•••••••• S••••••• I••• wirehouse
Oct 25, 2010 to Dec 3, 2014 · Bloomfield Hills, Mi
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Jun 7, 2007 to Nov 26, 2008 · Bloomfield Hills, Mi
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Mar 7, 2000 to Nov 12, 2003 · Bloomfield Hills, Mi

Moves

a registration end followed by a registration begin elsewhere

C••• F•••••••• S•••••••• L••• to J••• M••••• S••••••••• L••
left Apr 14, 2023, registered Apr 10, 2023 (-4 days) · Affiliated broker-dealer or bank to wirehouse
C••••••• S••••••••• to C••• F•••••••• S•••••••• L•••
left Sep 7, 2022, registered Sep 26, 2022 (19 days) · RIA to affiliated broker-dealer or bank
R•••••• J•••• • A••••••••• I••• to C••••••• S•••••••••
left Dec 16, 2016, registered Jun 1, 2017 (167 days) · Other
U•• F•••••••• S••••••• I••• to R•••••• J•••• • A••••••••• I•••
left Dec 3, 2014, registered Dec 8, 2014 (5 days) · Wirehouse to affiliated broker-dealer or bank
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U•• F•••••••• S••••••• I•••
left Nov 26, 2008, registered Oct 25, 2010 (698 days) · Wirehouse to wirehouse

Signals

D•••• D••••••••• H••••••• left C••• F•••••••• S•••••••• L••• for J••• M••••• S••••••••• L•• (registered 2023-04-10)
Apr 14, 2023 · Advisor changed firm · fact
D•••• D••••••••• H••••••• left C••••••• S••••••••• for C••• F•••••••• S•••••••• L••• (registered 2022-09-26)
Sep 7, 2022 · 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: 30derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address