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

B•••• R• F••••

H•••••••• A•••••••• L••BD affiliatedChicago, Il dual registrantIAPD 5889062

Feed of 09/14/2026

At current firm

0 y

since Apr 9, 2026

In the industry

15 y

since Apr 9, 2011 (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

H•••••••• A•••••••• L•• BD affiliated current
since Apr 9, 2026 · Chicago, Il
J•••••• S•••••••• W••••• L•• former
Jan 20, 2021 to Apr 8, 2026 · Summit, Nj
D•••••• W••••• M••••••••• L•• asset manager
Jul 13, 2015 to Dec 19, 2018 · St. Petersburg, Fl
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Apr 11, 2011 to May 11, 2015 · Short Hills, Nj

Moves

a registration end followed by a registration begin elsewhere

J•••••• S•••••••• W••••• L•• to H•••••••• A•••••••• L••
left Apr 8, 2026, registered Apr 9, 2026 (1 days) · RIA to affiliated broker-dealer or bank · moved with a team
D•••••• W••••• M••••••••• L•• to J•••••• S•••••••• W••••• L••
left Dec 19, 2018, registered Jan 20, 2021 (763 days) · RIA to a newly registered adviser · moved with a team
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to D•••••• W••••• M••••••••• L••
left May 11, 2015, registered Jul 13, 2015 (63 days) · Other

Signals

B•••• R• F•••• left J•••••• S•••••••• W••••• L•• for H•••••••• A•••••••• L•• (registered 2026-04-09)
Apr 8, 2026 · 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: 15derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address