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

D••••• S•••• H•••••

L•• F•••••••• L••BD affiliatedJoliet, Ildual registrantIAPD 5923368

Certified Financial Planner

Feed of 09/14/2026

Also filed as D••••• S H•••••

At current firm

0 y

since Nov 18, 2025

In the industry

12 y

since Apr 12, 2014 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, 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 Nov 18, 2025 · Joliet, Il
A••••••••• F•••••••• S•••••••• L•• national BD
May 3, 2024 to Nov 18, 2025 · Downers Grove, Il
H••••••••• F•••••••• A••••••• BD affiliated
Nov 29, 2021 to May 9, 2024 · Naperville, Il
F••••••• P••••••• A•• W•••••••• A••••••• former
Jun 10, 2021 to Oct 19, 2021 · Westlake, Tx
M••••• S•••••• wirehouse
Aug 13, 2019 to Mar 31, 2021 · Fort Lauderdale, Fl
E•••••••• A•••••••• L•• national BD
Jul 17, 2017 to Feb 27, 2018 · Falls Church, Va
S•••••••• I••••••••• M••••••••• former
Feb 3, 2017 to Jun 27, 2017 · Saint Louis, Mo
P•• W••••• M••••••••• BD affiliated
Jun 3, 2015 to Feb 1, 2016 · Cleveland, Oh
V•••• F•••••••• A•••••••• I••• BD affiliated
Jan 9, 2015 to Jun 4, 2015 · Boca Raton, Fl
E•••••••• A•••••••• L•• national BD
May 29, 2014 to Jan 9, 2015 · Boca Raton, Fl

Moves

a registration end followed by a registration begin elsewhere

A••••••••• F•••••••• S•••••••• L•• to L•• F•••••••• L••
left Nov 18, 2025, registered Nov 18, 2025 (0 days) · Affiliated broker-dealer or bank to another
H••••••••• F•••••••• A••••••• to A••••••••• F•••••••• S•••••••• L••
left May 9, 2024, registered May 3, 2024 (-6 days) · Affiliated broker-dealer or bank to another
F••••••• P••••••• A•• W•••••••• A••••••• to H••••••••• F•••••••• A•••••••
left Oct 19, 2021, registered Nov 29, 2021 (41 days) · Affiliated broker-dealer or bank to another
M••••• S•••••• to F••••••• P••••••• A•• W•••••••• A•••••••
left Mar 31, 2021, registered Jun 10, 2021 (71 days) · Wirehouse to affiliated broker-dealer or bank
E•••••••• A•••••••• L•• to M••••• S••••••
left Feb 27, 2018, registered Aug 13, 2019 (532 days) · Affiliated broker-dealer or bank to wirehouse
S•••••••• I••••••••• M••••••••• to E•••••••• A•••••••• L••
left Jun 27, 2017, registered Jul 17, 2017 (20 days) · Other
P•• W••••• M••••••••• to S•••••••• I••••••••• M•••••••••
left Feb 1, 2016, registered Feb 3, 2017 (368 days) · Other
V•••• F•••••••• A•••••••• I••• to P•• W••••• M•••••••••
left Jun 4, 2015, registered Jun 3, 2015 (-1 days) · Other
E•••••••• A•••••••• L•• to V•••• F•••••••• A•••••••• I•••
left Jan 9, 2015, registered Jan 9, 2015 (0 days) · Other

Signals

D••••• S•••• H••••• left A••••••••• F•••••••• S•••••••• L•• for L•• F•••••••• L•• (registered 2025-11-18)
Nov 18, 2025 · Advisor changed firm · fact
D••••• S•••• H••••• left H••••••••• F•••••••• A••••••• for A••••••••• F•••••••• S•••••••• L•• (registered 2024-05-03)
May 9, 2024 · 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: 12derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address