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

H•••••• L•••• S•••••

L•• F•••••••• L••BD affiliatedBellevue, Id IA-onlyIAPD 411723

Feed of 09/15/2026

At current firm

3 y

since May 11, 2023

In the industry

41 y

since Mar 4, 1985 (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

L•• F•••••••• L•• BD affiliated current
since May 11, 2023 · San Diego, Ca
F••••••••• I••••••••• A••••••• L•• i••••••••• wealth
Jan 21, 2022 to May 10, 2023 · Boise, Id
C••••••••• W•••••• L•• i••••••••• wealth
Nov 16, 2018 to Jan 14, 2022 · Boise, Id
D••••• R••••••••• P••••••• I••• i••••••••• wealth
Jun 11, 2018 to Sep 19, 2018 · Lehi, Ut
I••••••••• F•••••••• G••••• L•• BD affiliated
Mar 20, 2008 to Jan 22, 2009 · San Diego, Ca
U•••••••• S••••••••• I••• unclassified
Feb 24, 2006 to Apr 11, 2006 · Minneapolis, Mn
A••••••• S•••••• A••••••• S•••••••• I••• unclassified
Mar 7, 2003 to Mar 24, 2004 · Shelton, Ct

Moves

a registration end followed by a registration begin elsewhere

F••••••••• I••••••••• A••••••• L•• to L•• F•••••••• L••
left May 10, 2023, registered May 11, 2023 (1 days) · RIA to affiliated broker-dealer or bank
C••••••••• W•••••• L•• to F••••••••• I••••••••• A••••••• L••
left Jan 14, 2022, registered Jan 21, 2022 (7 days) · RIA to RIA
D••••• R••••••••• P••••••• I••• to C••••••••• W•••••• L••
left Sep 19, 2018, registered Nov 16, 2018 (58 days) · RIA to RIA
I••••••••• F•••••••• G••••• L•• to D••••• R••••••••• P••••••• I•••
left Jan 22, 2009, registered Jun 11, 2018 (3427 days) · Other
U•••••••• S••••••••• I••• to I••••••••• F•••••••• G••••• L••
left Apr 11, 2006, registered Mar 20, 2008 (709 days) · Other
A••••••• S•••••• A••••••• S•••••••• I••• to U•••••••• S••••••••• I•••
left Mar 24, 2004, registered Feb 24, 2006 (702 days) · Other

Signals

H•••••• L•••• S••••• left F••••••••• I••••••••• A••••••• L•• for L•• F•••••••• L•• (registered 2023-05-11)
May 10, 2023 · Advisor changed firm · fact
H•••••• L•••• S••••• left C••••••••• W•••••• L•• for F••••••••• I••••••••• A••••••• L•• (registered 2022-01-21)
Jan 14, 2022 · 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: Broker-dealer affiliated wealth managerderived
Years in industry: 41derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address