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.
Feed of 09/14/2026
Also filed as Lisa Leann Heckel
At current firm
3 y
since Mar 23, 2023
In the industry
11 y
since Nov 1, 2014 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- Morgan Stanley wirehouse currentsince Mar 23, 2023 · Sandy, Ut
- E*Trade Capital Management, LLC formerMar 23, 2023 to Sep 5, 2023 · Sandy, Ut
- Soltis Investment Advisors, LLC independent RIAFeb 11, 2020 to Nov 20, 2020 · Salt Lake City, Ut
- Wells Fargo Advisors wirehouseSep 7, 2017 to Dec 2, 2019 · Salt Lake City, Ut
- Td Ameritrade Investment Management, LLC formerMar 17, 2015 to Jul 12, 2017 · Draper, Ut
- Td Ameritrade, Inc. formerMar 17, 2015 to Jul 12, 2017 · Draper, Ut
Moves
a registration end followed by a registration begin elsewhere
- E*Trade Capital Management, LLC to Morgan Stanleyleft Sep 5, 2023, registered Mar 23, 2023 (-166 days) · corporate re-registration, not a move
- Soltis Investment Advisors, LLC to E*Trade Capital Management, LLCleft Nov 20, 2020, registered Mar 23, 2023 (853 days) · RIA to RIA
- Wells Fargo Advisors to Soltis Investment Advisors, LLCleft Dec 2, 2019, registered Feb 11, 2020 (71 days) · Wirehouse to independent RIA
- Td Ameritrade, Inc. to Td Ameritrade Investment Management, LLCleft Jul 12, 2017, registered Mar 17, 2015 (-848 days) · channel change inside one enterprise, not a move
- Td Ameritrade Investment Management, LLC to Td Ameritrade, Inc.left Jul 12, 2017, registered Mar 17, 2015 (-848 days) · Other · moved with a team
Signals
No dated event on this person.
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
- Wirehousederived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address