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

B•••• H••••• L•••••

A•••••• W••••• M••••••••• L••independent RIALouisville, Ky dual registrantIAPD 4951408

Feed of 09/14/2026

Also filed as B•••• H••••• L•••••

At current firm

0 y

since Nov 20, 2025

In the industry

20 y

since Sep 23, 2005 (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

A•••••• W••••• M••••••••• L•• independent RIA current
since Nov 20, 2025 · Mount Pleasant, Sc
R••••••••• P••••••• S••••••••• L•• independent RIA
Aug 3, 2022 to Jan 6, 2026 · Louisville, Ky
R••••••••• P••••••• S••••••••• L•• independent RIA
Jul 12, 2022 to Jul 28, 2022 · Louisville, Ky
L••••• A••••••• S••••••• unclassified
Nov 4, 2020 to Jan 6, 2023 · Louisville, Ky
C••••• A•••••• N••••••• L•• former
Dec 22, 2016 to Nov 13, 2020 · Louisville, Ky
F•••• T•••• S••••••••• I••• BD affiliated
Jan 14, 2014 to Nov 17, 2016 · Louisville, Ky
S•••••••• A••••••• L•• national BD
Jan 17, 2013 to Nov 11, 2013 · Covington, Ky
U••• F•••••••• P••••••• S••••••• former
Nov 26, 2008 to Jan 3, 2013 · Tampa, Fl
C•••••••• G••••• M•••••• I••• BD affiliated
Jun 22, 2006 to Sep 11, 2008 · Lafayette, In
T••••••• I••••••••• M••••••••• I••• BD affiliated
Sep 27, 2005 to Jun 26, 2006 · Downers Grove, Il

Moves

a registration end followed by a registration begin elsewhere

R••••••••• P••••••• S••••••••• L•• to A•••••• W••••• M••••••••• L••
left Jan 6, 2026, registered Nov 20, 2025 (-47 days) · RIA to RIA
L••••• A••••••• S••••••• to R••••••••• P••••••• S••••••••• L••
left Jan 6, 2023, registered Jul 12, 2022 (-178 days) · Other
C••••• A•••••• N••••••• L•• to L••••• A••••••• S•••••••
left Nov 13, 2020, registered Nov 4, 2020 (-9 days) · Other
F•••• T•••• S••••••••• I••• to C••••• A•••••• N••••••• L••
left Nov 17, 2016, registered Dec 22, 2016 (35 days) · Other
S•••••••• A••••••• L•• to F•••• T•••• S••••••••• I•••
left Nov 11, 2013, registered Jan 14, 2014 (64 days) · Other
U••• F•••••••• P••••••• S••••••• to S•••••••• A••••••• L••
left Jan 3, 2013, registered Jan 17, 2013 (14 days) · Other
C•••••••• G••••• M•••••• I••• to U••• F•••••••• P••••••• S•••••••
left Sep 11, 2008, registered Nov 26, 2008 (76 days) · Other
T••••••• I••••••••• M••••••••• I••• to C•••••••• G••••• M•••••• I•••
left Jun 26, 2006, registered Jun 22, 2006 (-4 days) · Other

Signals

B•••• H••••• L••••• left R••••••••• P••••••• S••••••••• L•• for A•••••• W••••• M••••••••• L•• (registered 2025-11-20)
Jan 6, 2026 · a•••••• firm change · fact
B•••• H••••• L••••• left L••••• A••••••• S••••••• for R••••••••• P••••••• S••••••••• L•• (registered 2022-07-12)
Jan 6, 2023 · a•••••• firm change · 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: Independent wealth managerderived
Years in industry: 20derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address