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••••• L••• H••••••

L•• F•••••••• L••BD affiliatedSugar Land, Txdual registrantIAPD 4235703

Certified Financial Planner

Feed of 09/14/2026

At current firm

1 y

since Sep 30, 2024

In the industry

25 y

since Sep 21, 2000 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, 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 Sep 30, 2024 · Sugar Land, Tx
R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated
May 9, 2023 to Oct 7, 2024 · Sugar Land, Tx
L•• F•••••••• L•• BD affiliated
Nov 6, 2015 to May 9, 2023 · Houston, Tx
A•••• I••••••••• I••• former
Jan 19, 2010 to Dec 31, 2015 · Houston, Tx
S••••• C•••••• M••••••••• I•• unclassified
Dec 5, 2000 to Sep 13, 2004 · Menomonee Falls, Wi

Moves

a registration end followed by a registration begin elsewhere

R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to L•• F•••••••• L••
left Oct 7, 2024, registered Sep 30, 2024 (-7 days) · Affiliated broker-dealer or bank to another · moved with a team
L•• F•••••••• L•• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••
left May 9, 2023, registered May 9, 2023 (0 days) · Affiliated broker-dealer or bank to another
A•••• I••••••••• I••• to L•• F•••••••• L••
left Dec 31, 2015, registered Nov 6, 2015 (-55 days) · Other · moved with a team
S••••• C•••••• M••••••••• I•• to A•••• I••••••••• I•••
left Sep 13, 2004, registered Jan 19, 2010 (1954 days) · Other

Signals

J••••• L••• H•••••• left R•••••• J•••• F•••••••• S••••••• A•••••••• I•• for L•• F•••••••• L•• (registered 2024-09-30)
Oct 7, 2024 · Advisor changed firm · fact
J••••• L••• H•••••• left L•• F•••••••• L•• for R•••••• J•••• F•••••••• S••••••• A•••••••• I•• (registered 2023-05-09)
May 9, 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: Broker-dealer affiliated wealth managerderived
Years in industry: 25derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address