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•••

A••••••••• F•••••••• S•••••••• L••national BDChardon, Ohdual registrantIAPD 4450229

Feed of 09/14/2026

Also filed as J••••••• L••• Rockafellow

At current firm

3 y

since Aug 29, 2023

In the industry

21 y

since Oct 4, 2004 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

A••••••••• F•••••••• S•••••••• L•• national BD current
since Aug 29, 2023 · Chardon, Oh
M•••••• C••••••••• G•••• former
Jan 27, 2015 to Sep 6, 2023 · Chardon, Oh
L•• F•••••••• L•• BD affiliated
Dec 1, 2011 to Oct 6, 2020 · Chardon, Oh
W•••• F•••• A••••••• wirehouse
Jan 10, 2008 to Dec 2, 2011 · Chardon, Oh
W•••• F•••• A••••••• wirehouse
Oct 25, 2004 to Jan 7, 2008 · Pepper Pike, Oh

Moves

a registration end followed by a registration begin elsewhere

M•••••• C••••••••• G•••• to A••••••••• F•••••••• S•••••••• L••
left Sep 6, 2023, registered Aug 29, 2023 (-8 days) · RIA to affiliated broker-dealer or bank · moved with a team
L•• F•••••••• L•• to M•••••• C••••••••• G••••
left Oct 6, 2020, registered Jan 27, 2015 (-2079 days) · Affiliated broker-dealer or bank to independent RIA
W•••• F•••• A••••••• to L•• F•••••••• L••
left Dec 2, 2011, registered Dec 1, 2011 (-1 days) · Other
W•••• F•••• A••••••• to W•••• F•••• A•••••••
left Jan 7, 2008, registered Jan 10, 2008 (3 days) · channel change inside one enterprise, not a move

Signals

J••••••• L••• H••• left M•••••• C••••••••• G•••• for A••••••••• F•••••••• S•••••••• L•• (registered 2023-08-29)
Sep 6, 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: National broker-dealer RIAderived
Years in industry: 21derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address