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

H•••• G•••••• N••••••

A••••••••• F•••••••• S•••••••• L••national BDLos Angeles, Ca dual registrantIAPD 5287905

Feed of 09/15/2026

Also filed as H•••• N••••••

At current firm

1 y

since Oct 21, 2024

In the industry

17 y

since Feb 13, 2009 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, 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••••••••• F•••••••• S•••••••• L•• national BD current
since Oct 21, 2024 · Hawthorne, Ca
L•• F•••••••• L•• BD affiliated
Apr 22, 2024 to Oct 28, 2024 · Gardena, Ca
U••• B•••••• I••••••••• I••• former
Oct 4, 2023 to Apr 16, 2024 · Paramount, Ca
U••• B•••••• A•••••••• L•• BD affiliated
Jun 3, 2021 to Oct 3, 2023 · Glendale, Ca
J••• M••••• S••••••••• L•• wirehouse
May 9, 2017 to Nov 16, 2020 · Manhattan Beach, Ca
I••••••••• F•••••••• G••••• L•• BD affiliated
Jul 22, 2016 to Mar 7, 2017 · Manhattan Beach, Ca
J••• M••••• S••••••••• L•• wirehouse
Oct 1, 2012 to Jun 13, 2016 · Hawthorne, Ca
C•••• I••••••••• S••••••• C•••• former
Jun 28, 2011 to Oct 1, 2012 · Los Angeles, Ca

Moves

a registration end followed by a registration begin elsewhere

L•• F•••••••• L•• to A••••••••• F•••••••• S•••••••• L••
left Oct 28, 2024, registered Oct 21, 2024 (-7 days) · Affiliated broker-dealer or bank to another · moved with a team
U••• B•••••• I••••••••• I••• to L•• F•••••••• L••
left Apr 16, 2024, registered Apr 22, 2024 (6 days) · Affiliated broker-dealer or bank to another
U••• B•••••• A•••••••• L•• to U••• B•••••• I••••••••• I•••
left Oct 3, 2023, registered Oct 4, 2023 (1 days) · Affiliated broker-dealer or bank to another
J••• M••••• S••••••••• L•• to U••• B•••••• A•••••••• L••
left Nov 16, 2020, registered Jun 3, 2021 (199 days) · Wirehouse to affiliated broker-dealer or bank
I••••••••• F•••••••• G••••• L•• to J••• M••••• S••••••••• L••
left Mar 7, 2017, registered May 9, 2017 (63 days) · Other
J••• M••••• S••••••••• L•• to I••••••••• F•••••••• G••••• L••
left Jun 13, 2016, registered Jul 22, 2016 (39 days) · Other
C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••
left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move

Signals

H•••• G•••••• N•••••• left L•• F•••••••• L•• for A••••••••• F•••••••• S•••••••• L•• (registered 2024-10-21)
Oct 28, 2024 · Advisor changed firm · fact
H•••• G•••••• N•••••• left U••• B•••••• I••••••••• I••• for L•• F•••••••• L•• (registered 2024-04-22)
Apr 16, 2024 · Advisor changed firm · fact
H•••• G•••••• N•••••• left U••• B•••••• A•••••••• L•• for U••• B•••••• I••••••••• I••• (registered 2023-10-04)
Oct 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: National broker-dealer RIAderived
Years in industry: 17derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address