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

F••• C•••••• J••••••

J••• H•••••• P••••••• F•••••••• S•••••••• L••BD affiliatedBoston, Ma dual registrantIAPD 5241596

Feed of 09/15/2026

Also filed as F••• C•••••• J••••••

At current firm

2 y

since Aug 23, 2024

In the industry

18 y

since May 15, 2008 (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

J••• H•••••• P••••••• F•••••••• S•••••••• L•• BD affiliated current
since Aug 23, 2024 · Boston, Ma
V•••• F•••••••• A•••••••• I••• BD affiliated
Jun 21, 2024 to Jul 29, 2024 · Houston, Tx
V•••• F•••••••• A•••••••• I••• BD affiliated
Aug 27, 2019 to Oct 9, 2023 · Houston, Tx
E•••••• A••••••• G••••• L•• BD affiliated
Nov 21, 2018 to Aug 19, 2019 · Richmond, Tx
V•••• F•••••••• A•••••••• I••• BD affiliated
Jul 6, 2011 to Feb 27, 2014 · Houston, Tx

Moves

a registration end followed by a registration begin elsewhere

V•••• F•••••••• A•••••••• I••• to J••• H•••••• P••••••• F•••••••• S•••••••• L••
left Jul 29, 2024, registered Aug 23, 2024 (25 days) · Affiliated broker-dealer or bank to another
E•••••• A••••••• G••••• L•• to V•••• F•••••••• A•••••••• I•••
left Aug 19, 2019, registered Aug 27, 2019 (8 days) · Other
V•••• F•••••••• A•••••••• I••• to E•••••• A••••••• G••••• L••
left Feb 27, 2014, registered Nov 21, 2018 (1728 days) · Other

Signals

F••• C•••••• J•••••• left V•••• F•••••••• A•••••••• I••• for J••• H•••••• P••••••• F•••••••• S•••••••• L•• (registered 2024-08-23)
Jul 29, 2024 · 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: 18derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address