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

D•••• L•••

M••••• S••••••wirehouseIrvine, Cadual registrantIAPD 4833271

Feed of 09/14/2026

Also filed as Chun Han L•••

At current firm

4 y

since Jul 22, 2022

In the industry

21 y

since Oct 7, 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

M••••• S•••••• wirehouse current
since Jul 22, 2022 · Irvine, Ca
R•••••• J•••• • A••••••••• I••• national BD
May 28, 2019 to Aug 3, 2022 · Newport Beach, Ca
W•••• F•••• A••••••• wirehouse
Jan 3, 2011 to May 29, 2019 · Irvine, Ca
W•••• F•••• I••••••••• L•• unclassified
Sep 3, 2008 to Jan 3, 2011 · Newport Beach, Ca
U•••• F•••••••• S••••••• G••••• I••• unclassified
Mar 30, 2007 to Aug 18, 2008 · Las Vegas, Nv
C••••••• A•••• M••••••••• I•• unclassified
Sep 19, 2006 to Aug 18, 2008 · Las Vegas, Nv
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Oct 4, 2005 to Aug 7, 2006 · City Of Industry, Ca
U•• F•••••••• S••••••• I••• wirehouse
Nov 1, 2004 to Oct 25, 2005 · La Jolla, Ca

Moves

a registration end followed by a registration begin elsewhere

R•••••• J•••• • A••••••••• I••• to M••••• S••••••
left Aug 3, 2022, registered Jul 22, 2022 (-12 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
W•••• F•••• A••••••• to R•••••• J•••• • A••••••••• I•••
left May 29, 2019, registered May 28, 2019 (-1 days) · Wirehouse to affiliated broker-dealer or bank
W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••
left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move
U•••• F•••••••• S••••••• G••••• I••• to W•••• F•••• I••••••••• L••
left Aug 18, 2008, registered Sep 3, 2008 (16 days) · Other
C••••••• A•••• M••••••••• I•• to U•••• F•••••••• S••••••• G••••• I•••
left Aug 18, 2008, registered Mar 30, 2007 (-507 days) · Other
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C••••••• A•••• M••••••••• I••
left Aug 7, 2006, registered Sep 19, 2006 (43 days) · Other
U•• F•••••••• S••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Oct 25, 2005, registered Oct 4, 2005 (-21 days) · Wirehouse to wirehouse

Signals

D•••• L••• left R•••••• J•••• • A••••••••• I••• for M••••• S•••••• (registered 2022-07-22)
Aug 3, 2022 · 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: Wirehousederived
Years in industry: 21derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address