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

N••••• H•••••• I••••

I••••••••• A••••• I••••••••• M••••••••• L••BD affiliatedTorrance, Cadual registrantIAPD 4795041

Feed of 09/14/2026

Also filed as N••••• H•••••• Sawyer

At current firm

3 y

since Jun 13, 2023

In the industry

22 y

since Aug 27, 2004 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

G••••• A••••• A•••••••• L•• independent RIA current
since Apr 10, 2025 · Torrance, Ca
I••••••••• A••••• I••••••••• M••••••••• L•• BD affiliated current
since Jun 13, 2023 · Torrance, Ca
W•••••• I••••••••• S••••••••• former
Dec 20, 2018 to Jun 29, 2023 · Torrance, Ca
R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated
Feb 8, 2013 to Dec 20, 2018 · Newport Beach, Ca
U••• B•••••• A•••••••• L•• BD affiliated
Apr 28, 2008 to Jan 28, 2013 · Palm Desert, Ca

Moves

a registration end followed by a registration begin elsewhere

W•••••• I••••••••• S••••••••• to I••••••••• A••••• I••••••••• M••••••••• L••
left Jun 29, 2023, registered Jun 13, 2023 (-16 days) · Affiliated broker-dealer or bank to another
R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to W•••••• I••••••••• S•••••••••
left Dec 20, 2018, registered Dec 20, 2018 (0 days) · Affiliated broker-dealer or bank to independent RIA
U••• B•••••• A•••••••• L•• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••
left Jan 28, 2013, registered Feb 8, 2013 (11 days) · Other

Signals

N••••• H•••••• I•••• left W•••••• I••••••••• S••••••••• for I••••••••• A••••• I••••••••• M••••••••• L•• (registered 2023-06-13)
Jun 29, 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: 22derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address