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•••• A•••••••• H••••••••

D•••••••• A••••••• S•••••••• L••BD affiliatedSouth Jordan, Ut IA-onlyIAPD 5436620

Certified Financial Planner

Feed of 09/15/2026

Also filed as H•••• H••••••••

At current firm

2 y

since Dec 7, 2023

In the industry

18 y

since Aug 7, 2008 (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

D•••••••• A••••••• S•••••••• L•• BD affiliated current
since Dec 7, 2023 · Irvine, Ca
D••• I••••••••• L•• former
Nov 30, 2022 to Jan 2, 2024 · Irvine, Ca
S••••••• P•••••• W••••• former
Jan 16, 2020 to Dec 12, 2022 · Long Beach, Ca
S••••••• W••••• M••••••••• former
Jan 30, 2018 to Feb 7, 2020 · Newport Beach, Ca
W•••• F•••• A••••••• wirehouse
Sep 16, 2016 to Aug 7, 2017 · Newport Beach, Ca
U•• F•••••••• S••••••• I••• wirehouse
Oct 1, 2008 to Sep 30, 2016 · Newport Beach, Ca
U•• F•••••••• S••••••• I••• wirehouse
Aug 8, 2008 to Aug 29, 2008 · Newport Beach, Ca

Moves

a registration end followed by a registration begin elsewhere

D••• I••••••••• L•• to D•••••••• A••••••• S•••••••• L••
left Jan 2, 2024, registered Dec 7, 2023 (-26 days) · RIA to affiliated broker-dealer or bank · moved with a team
S••••••• P•••••• W••••• to D••• I••••••••• L••
left Dec 12, 2022, registered Nov 30, 2022 (-12 days) · RIA to RIA · moved with a team
S••••••• W••••• M••••••••• to S••••••• P•••••• W•••••
left Feb 7, 2020, registered Jan 16, 2020 (-22 days) · RIA to RIA · moved with a team
W•••• F•••• A••••••• to S••••••• W••••• M•••••••••
left Aug 7, 2017, registered Jan 30, 2018 (176 days) · Wirehouse to independent RIA
U•• F•••••••• S••••••• I••• to W•••• F•••• A•••••••
left Sep 30, 2016, registered Sep 16, 2016 (-14 days) · Wirehouse to wirehouse · moved with a team

Signals

H•••• A•••••••• H•••••••• left D••• I••••••••• L•• for D•••••••• A••••••• S•••••••• L•• (registered 2023-12-07)
Jan 2, 2024 · Advisor changed firm · fact
H•••• A•••••••• H•••••••• left S••••••• P•••••• W••••• for D••• I••••••••• L•• (registered 2022-11-30)
Dec 12, 2022 · 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