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•• H•••••

C••••••• S••••••••• I•••BD affiliatedWestwood, Ma dual registrantIAPD 4904083

Certified Financial Planner · Chartered Financial Consultant

Feed of 09/15/2026

Also filed as D•••• L H•••••

At current firm

3 y

since Mar 27, 2023

In the industry

19 y

since Dec 1, 2006 (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

C••••••• S••••••••• I••• BD affiliated current
since Mar 27, 2023 · Westwood, Ma
A••••• A•• P••••••• S••••••• BD affiliated
Feb 7, 2013 to Mar 3, 2023 · Ann Arbor, Mi
W•••• F•••• A••••••• wirehouse
Apr 5, 2011 to Jan 14, 2013 · Nashville, Tn
M••••• S•••••• wirehouse
Jan 4, 2011 to Apr 11, 2011 · Nashville, Tn
L•• F•••••••• L•• BD affiliated
Jan 9, 2009 to Nov 9, 2010 · Las Vegas, Nv

Moves

a registration end followed by a registration begin elsewhere

A••••• A•• P••••••• S••••••• to C••••••• S••••••••• I•••
left Mar 3, 2023, registered Mar 27, 2023 (24 days) · Affiliated broker-dealer or bank to another
W•••• F•••• A••••••• to A••••• A•• P••••••• S•••••••
left Jan 14, 2013, registered Feb 7, 2013 (24 days) · Other
M••••• S•••••• to W•••• F•••• A•••••••
left Apr 11, 2011, registered Apr 5, 2011 (-6 days) · Wirehouse to wirehouse
L•• F•••••••• L•• to M••••• S••••••
left Nov 9, 2010, registered Jan 4, 2011 (56 days) · Other

Signals

D•••• L•• H••••• left A••••• A•• P••••••• S••••••• for C••••••• S••••••••• I••• (registered 2023-03-27)
Mar 3, 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: 19derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address