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

K•••••• L••• H•••

S•••••• P••••••• I••••••••• A•••••••• L••BD affiliatedColumbus, Oh dual registrantIAPD 4714916

Certified Financial Planner

Feed of 09/15/2026

At current firm

2 y

since Apr 19, 2024

In the industry

29 y

since May 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, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

S•••••• P••••••• I••••••••• A•••••••• L•• BD affiliated current
since Apr 19, 2024 · Columbus, Oh
M••••• C•••••• M••••••••• L•• former
Dec 19, 2023 to Mar 25, 2024 · Virginia Beach, Va
E••• W••••• M••••••••• L••••• former
Dec 8, 2023 to Mar 18, 2025 · Southern Shores, Nc
T••• F•••••••• G••••• I••• independent RIA
May 24, 2004 to Jul 9, 2018 · Chesapeake, Va

Moves

a registration end followed by a registration begin elsewhere

E••• W••••• M••••••••• L••••• to M••••• C•••••• M••••••••• L••
left Mar 18, 2025, registered Dec 19, 2023 (-455 days) · RIA to RIA
M••••• C•••••• M••••••••• L•• to S•••••• P••••••• I••••••••• A•••••••• L••
left Mar 25, 2024, registered Apr 19, 2024 (25 days) · RIA to affiliated broker-dealer or bank · moved with a team
T••• F•••••••• G••••• I••• to E••• W••••• M••••••••• L•••••
left Jul 9, 2018, registered Dec 8, 2023 (1978 days) · RIA to RIA

Signals

K•••••• L••• H••• left E••• W••••• M••••••••• L••••• for M••••• C•••••• M••••••••• L•• (registered 2023-12-19)
Mar 18, 2025 · Advisor changed firm · fact
K•••••• L••• H••• left M••••• C•••••• M••••••••• L•• for S•••••• P••••••• I••••••••• A•••••••• L•• (registered 2024-04-19)
Mar 25, 2024 · 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: 29derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address