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

C•••• J•••• H•••••

C••••••••• W•••••• L••independent RIALos Angeles, Ca IA-onlyIAPD 5280301

Chartered Financial Analyst

Feed of 09/15/2026

At current firm

1 y

since Mar 11, 2025

In the industry

15 y

since May 13, 2011 (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

C••••••••• W•••••• L•• independent RIA current
since Mar 11, 2025 · Seattle, Wa
U•••••••• W••••• P••••••• former
Jul 31, 2019 to May 12, 2025 · Seattle, Wa
W•••• F•••• A••••••• wirehouse
May 8, 2015 to Aug 5, 2019 · Seattle, Wa
S•••••••• A••••••• L•• national BD
Aug 11, 2014 to May 11, 2015 · Seattle, Wa
W•••• F•••• A••••••• wirehouse
May 19, 2011 to Aug 1, 2013 · Seattle, Wa

Moves

a registration end followed by a registration begin elsewhere

U•••••••• W••••• P••••••• to C••••••••• W•••••• L••
left May 12, 2025, registered Mar 11, 2025 (-62 days) · RIA to RIA · moved with a team
W•••• F•••• A••••••• to U•••••••• W••••• P•••••••
left Aug 5, 2019, registered Jul 31, 2019 (-5 days) · Wirehouse to a newly registered adviser (no RAUM reported yet) · moved with a team
S•••••••• A••••••• L•• to W•••• F•••• A•••••••
left May 11, 2015, registered May 8, 2015 (-3 days) · Affiliated broker-dealer or bank to wirehouse
W•••• F•••• A••••••• to S•••••••• A••••••• L••
left Aug 1, 2013, registered Aug 11, 2014 (375 days) · Wirehouse to affiliated broker-dealer or bank

Signals

C•••• J•••• H••••• left U•••••••• W••••• P••••••• for C••••••••• W•••••• L•• (registered 2025-03-11)
May 12, 2025 · 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: Independent wealth managerderived
Years in industry: 15derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address