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••• B•••••• C•••••

H•••••• T••••••• • K•••• L••independent RIAChandler, Azdual registrantIAPD 3141834

Chartered Financial Consultant

Feed of 09/14/2026

At current firm

16 y

since Aug 30, 2010

In the industry

27 y

since Nov 18, 1998 (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•••••• T••••••• • K•••• L•• independent RIA current
since Aug 30, 2010 · Chandler, Az
I••••••• S••••••••• I••• unclassified
Sep 14, 2007 to Aug 18, 2010 · Mesa, Az
A•••••• A•••••••• I••• unclassified
Apr 29, 2005 to Sep 14, 2007 · Salt Lake City, Ut
E•• F•••••••• A••••••• independent RIA
Apr 19, 2004 to Apr 27, 2005 · Midvale, Ut
H•••••• T••••••• • K•••• L•• independent RIA
Apr 24, 2001 to Dec 5, 2003 · Salt Lake City, Ut

Moves

a registration end followed by a registration begin elsewhere

I••••••• S••••••••• I••• to H•••••• T••••••• • K•••• L••
left Aug 18, 2010, registered Aug 30, 2010 (12 days) · Other
A•••••• A•••••••• I••• to I••••••• S••••••••• I•••
left Sep 14, 2007, registered Sep 14, 2007 (0 days) · Other
E•• F•••••••• A••••••• to A•••••• A•••••••• I•••
left Apr 27, 2005, registered Apr 29, 2005 (2 days) · Other
H•••••• T••••••• • K•••• L•• to E•• F•••••••• A•••••••
left Dec 5, 2003, registered Apr 19, 2004 (136 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: Independent wealth managerderived
Years in industry: 27derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address