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•••••••• H••••••• E••••••

M•••••• L••••• P•••••• F••••• • S•••• I•••••••••wirehouseNew York, Ny dual registrantIAPD 4363417

Feed of 09/14/2026

Also filed as Sheau-Lei Ray H•••••••

At current firm

0 y

since May 1, 2026

In the industry

29 y

since Jun 1, 1997 (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

M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse current
since May 1, 2026 · New York, Ny
R•••••• J•••• • A••••••••• I••• national BD
Mar 17, 2025 to Mar 24, 2026 · St. Petersburg, Fl
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Oct 23, 2009 to Feb 11, 2025 · Tampa, Fl
B••• O• A•••••• I••••••••• S•••••••• I••• unclassified
Apr 18, 2001 to Oct 23, 2009 · Tampa, Fl

Moves

a registration end followed by a registration begin elsewhere

R•••••• J•••• • A••••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Mar 24, 2026, registered May 1, 2026 (38 days) · Affiliated broker-dealer or bank to wirehouse
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to R•••••• J•••• • A••••••••• I•••
left Feb 11, 2025, registered Mar 17, 2025 (34 days) · Wirehouse to affiliated broker-dealer or bank
B••• O• A•••••• I••••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Oct 23, 2009, registered Oct 23, 2009 (0 days) · corporate re-registration, not a move

Signals

S•••••••• H••••••• E•••••• left R•••••• J•••• • A••••••••• I••• for M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (registered 2026-05-01)
Mar 24, 2026 · Advisor changed firm · fact
S•••••••• H••••••• E•••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for R•••••• J•••• • A••••••••• I••• (registered 2025-03-17)
Feb 11, 2025 · 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: Wirehousederived
Years in industry: 29derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address