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•••• L•• H••••••••

F•••• T•••• S••••••••• I•••BD affiliatedChicago, Ildual registrantIAPD 2983573

Feed of 09/14/2026

Also filed as D•••• L•• H••••••••

At current firm

4 y

since Nov 3, 2021

In the industry

28 y

since Feb 9, 1998 (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

F•••• T•••• S••••••••• I••• BD affiliated current
since Nov 3, 2021 · Chicago, Il
V•••• F•••••••• A•••••••• I••• BD affiliated
May 6, 2019 to Nov 12, 2021 · Chicago, Il
C•••••••• G••••• M•••••• I••• BD affiliated
May 1, 2015 to May 22, 2019 · Chicago, Il
F•••• T•••• S••••••••• I••• BD affiliated
Oct 27, 2010 to Apr 24, 2015 · Evanston, Il
R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated
Jan 2, 2009 to Oct 25, 2010 · Northbrook, Il
R•••••• J•••• F•••••••• S•••••••• I••• unclassified
Oct 2, 2008 to Jan 2, 2009 · North Riverside, Il
M•••••• F•••••••• A•• I••••••••• S•••••••• I••• unclassified
Jun 28, 2007 to Sep 12, 2008 · Downers Grove, Il
R•••••• J•••• F•••••••• S•••••••• I••• unclassified
Jan 11, 2006 to Jan 23, 2007 · Elmwood Park, Il

Moves

a registration end followed by a registration begin elsewhere

V•••• F•••••••• A•••••••• I••• to F•••• T•••• S••••••••• I•••
left Nov 12, 2021, registered Nov 3, 2021 (-9 days) · Affiliated broker-dealer or bank to another
C•••••••• G••••• M•••••• I••• to V•••• F•••••••• A•••••••• I•••
left May 22, 2019, registered May 6, 2019 (-16 days) · Affiliated broker-dealer or bank to another
F•••• T•••• S••••••••• I••• to C•••••••• G••••• M•••••• I•••
left Apr 24, 2015, registered May 1, 2015 (7 days) · Other
R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to F•••• T•••• S••••••••• I•••
left Oct 25, 2010, registered Oct 27, 2010 (2 days) · Other
R•••••• J•••• F•••••••• S•••••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••
left Jan 2, 2009, registered Jan 2, 2009 (0 days) · corporate re-registration, not a move
M•••••• F•••••••• A•• I••••••••• S•••••••• I••• to R•••••• J•••• F•••••••• S•••••••• I•••
left Sep 12, 2008, registered Oct 2, 2008 (20 days) · Other
R•••••• J•••• F•••••••• S•••••••• I••• to M•••••• F•••••••• A•• I••••••••• S•••••••• I•••
left Jan 23, 2007, registered Jun 28, 2007 (156 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: 28derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address