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

M•••••• D•••• H••••••••

L•• E••••••••• L••BD affiliatedHawthorne, Ca dual registrantIAPD 4768814

Feed of 09/14/2026

Also filed as M•••••• H••••••••

At current firm

1 y

since Nov 14, 2024

In the industry

22 y

since Jan 1, 2004 (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

L•• E••••••••• L•• BD affiliated current
since Nov 14, 2024 · Hawthorne, Ca
P•••• S••••••••• L•• no RAUM
Apr 28, 2021 to Nov 14, 2024 · El Segundo, Ca
E•••••••• A•••••••• L•• national BD
May 18, 2018 to Feb 11, 2021 · Irvine, Ca
L•• F•••••••• L•• BD affiliated
Nov 29, 2017 to Apr 23, 2018 · Irvine, Ca
T•••••• C••••••• I••• independent RIA
Jan 21, 2016 to Mar 9, 2018 · Irvine, Ca
N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• former
Apr 10, 2013 to Nov 29, 2017 · Irvine, Ca

Moves

a registration end followed by a registration begin elsewhere

P•••• S••••••••• L•• to L•• E••••••••• L••
left Nov 14, 2024, registered Nov 14, 2024 (0 days) · corporate re-registration, not a move
E•••••••• A•••••••• L•• to P•••• S••••••••• L••
left Feb 11, 2021, registered Apr 28, 2021 (76 days) · Affiliated broker-dealer or bank to another
L•• F•••••••• L•• to E•••••••• A•••••••• L••
left Apr 23, 2018, registered May 18, 2018 (25 days) · RIA to affiliated broker-dealer or bank
T•••••• C••••••• I••• to L•• F•••••••• L••
left Mar 9, 2018, registered Nov 29, 2017 (-100 days) · RIA to RIA · moved with a team
N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to T•••••• C••••••• I•••
left Nov 29, 2017, registered Jan 21, 2016 (-678 days) · Other · moved with a team

Signals

No dated event on this person.

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: 22derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address