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

L••••• R•••••• H•••••••

W••••••••• I••••••••• M••••••••• L••independent RIANaples, Fl IA-onlyIAPD 4090907

Certified Financial Planner

Feed of 09/14/2026

Also filed as L••••• R. H•••••••

At current firm

1 y

since Jan 7, 2025

In the industry

26 y

since Feb 17, 2000 (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

W••••••••• I••••••••• M••••••••• L•• independent RIA current
since Jan 7, 2025 · Naples, Fl
B•••• W•••••• L•• independent RIA
Dec 18, 2023 to Dec 31, 2024 · Naples, Fl
T•••••••• L•• former
Jun 21, 2021 to Dec 13, 2023 · Naples, Fl
B••••••••• W••••• A•••••••• L•• no RAUM
Mar 24, 2017 to Jun 15, 2021 · Fort Myers, Fl
G•••• C•••••• M••••••••• L•• unclassified
Feb 29, 2016 to Mar 3, 2017 · Fort Myers, Fl
C••••••••• W••••• M••••••••• unclassified
Nov 21, 2008 to Oct 29, 2010 · Saugus, Ca
U•• F•••••••• S••••••••• L•• independent RIA
Mar 9, 2007 to Jun 20, 2008 · Simi Valley, Ca
O• I••••••••• M••••••••• C• BD affiliated
May 8, 2006 to Dec 31, 2006 · Simi Valley, Ca

Moves

a registration end followed by a registration begin elsewhere

B•••• W•••••• L•• to W••••••••• I••••••••• M••••••••• L••
left Dec 31, 2024, registered Jan 7, 2025 (7 days) · RIA to RIA
T•••••••• L•• to B•••• W•••••• L••
left Dec 13, 2023, registered Dec 18, 2023 (5 days) · RIA to RIA · moved with a team
B••••••••• W••••• A•••••••• L•• to T•••••••• L••
left Jun 15, 2021, registered Jun 21, 2021 (6 days) · RIA to RIA · moved with a team
G•••• C•••••• M••••••••• L•• to B••••••••• W••••• A•••••••• L••
left Mar 3, 2017, registered Mar 24, 2017 (21 days) · Other
C••••••••• W••••• M••••••••• to G•••• C•••••• M••••••••• L••
left Oct 29, 2010, registered Feb 29, 2016 (1949 days) · Other
U•• F•••••••• S••••••••• L•• to C••••••••• W••••• M•••••••••
left Jun 20, 2008, registered Nov 21, 2008 (154 days) · Other
O• I••••••••• M••••••••• C• to U•• F•••••••• S••••••••• L••
left Dec 31, 2006, registered Mar 9, 2007 (68 days) · Other

Signals

L••••• R•••••• H••••••• left B•••• W•••••• L•• for W••••••••• I••••••••• M••••••••• L•• (registered 2025-01-07)
Dec 31, 2024 · Advisor changed firm · fact
L••••• R•••••• H••••••• left T•••••••• L•• for B•••• W•••••• L•• (registered 2023-12-18)
Dec 13, 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: Independent wealth managerderived
Years in industry: 26derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address