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

T••••• L••• I••••

H•••••••• A•••••••• L••BD affiliatedChicago, Il dual registrantIAPD 4443238

Feed of 09/15/2026

At current firm

0 y

since Feb 24, 2026

In the industry

24 y

since Oct 26, 2001 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

H•••••••• A•••••••• L•• BD affiliated current
since Feb 24, 2026 · Chicago, Il
R••••• W••••• M••••••••• L•• independent RIA
May 1, 2023 to May 25, 2023 · New York, Ny
K•• F•••••••• L•• mixed wealth
Mar 31, 2021 to Mar 28, 2022 · Chicago, Il
M••••• S•••••• D• I••• unclassified
Jun 4, 2002 to Jul 26, 2005 · Washington, Dc

Moves

a registration end followed by a registration begin elsewhere

R••••• W••••• M••••••••• L•• to H•••••••• A•••••••• L••
left May 25, 2023, registered Feb 24, 2026 (1006 days) · RIA to affiliated broker-dealer or bank
K•• F•••••••• L•• to R••••• W••••• M••••••••• L••
left Mar 28, 2022, registered May 1, 2023 (399 days) · RIA to RIA
M••••• S•••••• D• I••• to K•• F•••••••• L••
left Jul 26, 2005, registered Mar 31, 2021 (5727 days) · Other

Signals

T••••• L••• I•••• left R••••• W••••• M••••••••• L•• for H•••••••• A•••••••• L•• (registered 2026-02-24)
May 25, 2023 · Advisor changed firm · fact
T••••• L••• I•••• left K•• F•••••••• L•• for R••••• W••••• M••••••••• L•• (registered 2023-05-01)
Mar 28, 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: 24derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address