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

A•• L••• H••••••

L•••••••• W••••• M••••••••• L••independent RIALondon IA-onlyIAPD 3156939

Certified Financial Planner

Feed of 09/14/2026

Also filed as Ann L••• Johnson

At current firm

1 y

since Nov 12, 2024

In the industry

27 y

since Dec 9, 1998 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S66, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Professional profile

what the firm itself publishes, with the page it was read from

Designations: CFP, CDFAreporteddunhillfinancial.comas printed on the bio page, Sep 16, 2026
Boards named: Estate Planning Council of Westchester Countyreporteddunhillfinancial.comphrases on the bio page
Professional profile: dunhillfinancial.com/team/ann-herreroreporteddunhillfinancial.comfirm site, Sep 15, 2026

Only business contact points the firm published under its own name are shown; nothing is inferred, and personal accounts are never read. What the bio page says is printed as the firm printed it, with the sentence it came from; years are the firm’s claim, not a count of registrations.

Registration history

IAPD current and previous registrations

L•••••••• W••••• M••••••••• L•• independent RIA current
since Mar 21, 2025 · Mystic, Ct
D•••••• F•••••••• independent RIA current
since Nov 12, 2024 · London
A••••••••• F•••••••• S•••••••• L•• national BD
Apr 16, 2021 to Oct 3, 2024 · Pleasantville, Ny
E••••• J•••• national BD
Feb 4, 2011 to Mar 30, 2015 · Scarsdale, Ny
M••••• S•••••• wirehouse
Jun 1, 2009 to Feb 11, 2011 · Stamford, Ct
M••••• S•••••• • C•• L•• unclassified
Aug 3, 2007 to Jun 1, 2009 · Stamford, Ct
U•• F•••••••• S••••••• I••• wirehouse
Jan 12, 2005 to Aug 14, 2007 · Stamford, Ct

Moves

a registration end followed by a registration begin elsewhere

A••••••••• F•••••••• S•••••••• L•• to D•••••• F••••••••
left Oct 3, 2024, registered Nov 12, 2024 (40 days) · Affiliated broker-dealer or bank to independent RIA
E••••• J•••• to A••••••••• F•••••••• S•••••••• L••
left Mar 30, 2015, registered Apr 16, 2021 (2209 days) · Affiliated broker-dealer or bank to another
M••••• S•••••• to E••••• J••••
left Feb 11, 2011, registered Feb 4, 2011 (-7 days) · Wirehouse to affiliated broker-dealer or bank
M••••• S•••••• • C•• L•• to M••••• S••••••
left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
U•• F•••••••• S••••••• I••• to M••••• S•••••• • C•• L••
left Aug 14, 2007, registered Aug 3, 2007 (-11 days) · Other

Signals

A•• L••• H•••••• left A••••••••• F•••••••• S•••••••• L•• for D•••••• F•••••••• (registered 2024-11-12)
Oct 3, 2024 · 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: Independent wealth managerderived
Years in industry: 27derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address