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

S•••• L•• T•••••••

C•••••• S••••• • C••• I•••national BDHolland, Midual registrantIAPD 3194048

Feed of 09/14/2026

Also filed as S••••N Lee T•••••••

At current firm

1 y

since Mar 25, 2025

In the industry

27 y

since Apr 1, 1999 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, 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•••••• S••••• • C••• I••• national BD current
since Mar 25, 2025 · Holland, Mi
E••••• J•••• national BD
Mar 18, 2024 to Mar 19, 2025 · St Louis, Mo
F•••• T•••• S••••••••• I••• BD affiliated
Oct 20, 2023 to Feb 5, 2024 · Grand Haven, Mi
E••••• J•••• national BD
Aug 1, 2017 to Oct 24, 2023 · Grand Rapids, Mi
F•••• T•••• S••••••••• I••• BD affiliated
Aug 9, 2007 to Aug 14, 2017 · Holland, Mi

Moves

a registration end followed by a registration begin elsewhere

E••••• J•••• to C•••••• S••••• • C••• I•••
left Mar 19, 2025, registered Mar 25, 2025 (6 days) · Affiliated broker-dealer or bank to another
F•••• T•••• S••••••••• I••• to E••••• J••••
left Feb 5, 2024, registered Mar 18, 2024 (42 days) · Affiliated broker-dealer or bank to another
E••••• J•••• to F•••• T•••• S••••••••• I•••
left Oct 24, 2023, registered Oct 20, 2023 (-4 days) · Affiliated broker-dealer or bank to another
F•••• T•••• S••••••••• I••• to E••••• J••••
left Aug 14, 2017, registered Aug 1, 2017 (-13 days) · Other

Signals

S•••• L•• T••••••• left E••••• J•••• for C•••••• S••••• • C••• I••• (registered 2025-03-25)
Mar 19, 2025 · Advisor changed firm · fact
S•••• L•• T••••••• left F•••• T•••• S••••••••• I••• for E••••• J•••• (registered 2024-03-18)
Feb 5, 2024 · Advisor changed firm · fact
S•••• L•• T••••••• left E••••• J•••• for F•••• T•••• S••••••••• I••• (registered 2023-10-20)
Oct 24, 2023 · 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: National broker-dealer RIAderived
Years in industry: 27derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address