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

A•••••• J••••• D•••••••

H•••••• T••••••• • K•••• L••independent RIALos Angeles, Ca dual registrantIAPD 5393280

Feed of 09/15/2026

Also filed as A•••••• D•••••••

At current firm

3 y

since Apr 6, 2023

In the industry

19 y

since Jul 1, 2007 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

H•••••• T••••••• • K•••• L•• independent RIA current
since Apr 6, 2023 · Los Angeles, Ca
T•• A•••••••• I••• BD affiliated
Sep 28, 2021 to Apr 10, 2023 · Summit, Nj
M• H••••••• S••••••••• I••• BD affiliated
Feb 25, 2021 to Jul 16, 2021 · Santa Monica, Ca
E•••••••• A•••••••• L•• national BD
Jun 10, 2008 to Sep 30, 2020 · New York, Ny

Moves

a registration end followed by a registration begin elsewhere

T•• A•••••••• I••• to H•••••• T••••••• • K•••• L••
left Apr 10, 2023, registered Apr 6, 2023 (-4 days) · Affiliated broker-dealer or bank to another
M• H••••••• S••••••••• I••• to T•• A•••••••• I•••
left Jul 16, 2021, registered Sep 28, 2021 (74 days) · Affiliated broker-dealer or bank to another
E•••••••• A•••••••• L•• to M• H••••••• S••••••••• I•••
left Sep 30, 2020, registered Feb 25, 2021 (148 days) · Affiliated broker-dealer or bank to another

Signals

A•••••• J••••• D••••••• left T•• A•••••••• I••• for H•••••• T••••••• • K•••• L•• (registered 2023-04-06)
Apr 10, 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: Independent wealth managerderived
Years in industry: 19derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address