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• N•••••

L•• F•••••••• L••BD affiliatedKirkland, Wa IA-onlyIAPD 5621196

Certified Financial Planner

Feed of 09/14/2026

Also filed as Ha Thi-Thanh Nguyen

At current firm

1 y

since Jul 10, 2025

In the industry

14 y

since Dec 29, 2011 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

L•• F•••••••• L•• BD affiliated current
since Jul 10, 2025 · Kirkland, Wa
C•••••• G•••• • C• I•• former
Sep 18, 2024 to Jul 10, 2025 · Kirkland, Wa
R••••••••• C•••••• M••••••••• BD affiliated
May 30, 2023 to Jun 10, 2024 · San Francisco, Ca
M•••• W••••• A••••••• former
Jun 15, 2022 to Sep 7, 2022 · Bellevue, Wa
C••••••• P•••••• W••••• M••••••••• former
May 13, 2015 to Mar 23, 2022 · Seattle, Wa
K••••• • P••••••• H•••••• C•••••• former
Jan 26, 2012 to May 1, 2015 · Seattle, Wa

Moves

a registration end followed by a registration begin elsewhere

C•••••• G•••• • C• I•• to L•• F•••••••• L••
left Jul 10, 2025, registered Jul 10, 2025 (0 days) · corporate re-registration, not a move
R••••••••• C•••••• M••••••••• to C•••••• G•••• • C• I••
left Jun 10, 2024, registered Sep 18, 2024 (100 days) · Affiliated broker-dealer or bank to another
M•••• W••••• A••••••• to R••••••••• C•••••• M•••••••••
left Sep 7, 2022, registered May 30, 2023 (265 days) · RIA to affiliated broker-dealer or bank
C••••••• P•••••• W••••• M••••••••• to M•••• W••••• A•••••••
left Mar 23, 2022, registered Jun 15, 2022 (84 days) · RIA to RIA
K••••• • P••••••• H•••••• C•••••• to C••••••• P•••••• W••••• M•••••••••
left May 1, 2015, registered May 13, 2015 (12 days) · Other · moved with a team

Signals

H• N••••• left R••••••••• C•••••• M••••••••• for C•••••• G•••• • C• I•• (registered 2024-09-18)
Jun 10, 2024 · Advisor changed firm · fact
H• N••••• left M•••• W••••• A••••••• for R••••••••• C•••••• M••••••••• (registered 2023-05-30)
Sep 7, 2022 · Advisor changed firm · fact
H• N••••• left C••••••• P•••••• W••••• M••••••••• for M•••• W••••• A••••••• (registered 2022-06-15)
Mar 23, 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: 14derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address