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•••• J••• D••••••

H•••••••• A•••••••• L••BD affiliatedChicago, Il IA-onlyIAPD 4486074

Certified Financial Planner · Chartered Financial Consultant

Feed of 09/14/2026

Also filed as J•••• J••• D••••••

At current firm

3 y

since Apr 21, 2023

In the industry

24 y

since Jan 8, 2002 (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

H•••••••• A•••••••• L•• BD affiliated current
since Apr 21, 2023 · Chicago, Il
A••••• W••••• M••••••••• former
Apr 29, 2022 to May 18, 2023 · Purchase, Ny
A••••• W••••• M••••••••• L•• former
Oct 20, 2010 to Jun 1, 2022 · Purchase, Ny
P••• A••••• S••••••••• L•• BD affiliated
Mar 10, 2003 to Oct 19, 2010 · Purchase, Ny

Moves

a registration end followed by a registration begin elsewhere

A••••• W••••• M••••••••• to H•••••••• A•••••••• L••
left May 18, 2023, registered Apr 21, 2023 (-27 days) · RIA to affiliated broker-dealer or bank · moved with a team
A••••• W••••• M••••••••• L•• to A••••• W••••• M•••••••••
left Jun 1, 2022, registered Apr 29, 2022 (-33 days) · channel change inside one enterprise, not a move · moved with a team
P••• A••••• S••••••••• L•• to A••••• W••••• M••••••••• L••
left Oct 19, 2010, registered Oct 20, 2010 (1 days) · Other

Signals

J•••• J••• D•••••• left A••••• W••••• M••••••••• for H•••••••• A•••••••• L•• (registered 2023-04-21)
May 18, 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: 24derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address