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•••• H•••• E•••••

L•• F•••••••• L••BD affiliatedSan Diego, Cadual registrantIAPD 5942847

Certified Financial Planner

Feed of 09/14/2026

Also filed as D•••• H•••• E•••••

At current firm

4 y

since Feb 15, 2022

In the industry

15 y

since Sep 2, 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

L•• F•••••••• L•• BD affiliated current
since Feb 15, 2022 · San Diego, Ca
W•••• F•••• A••••••• wirehouse
Jun 11, 2020 to Feb 18, 2022 · San Diego, Ca
C••• F•••••••• S•••••••• L••• former
Jan 18, 2017 to Apr 14, 2020 · San Diego, Ca
S••••••• P•••••• F••••••••• L•• former
Jan 18, 2017 to Apr 15, 2020 · San Diego, Ca
W•••••• • R••• former
Sep 11, 2015 to Jan 24, 2017 · Louisville, Ky
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
May 31, 2013 to Sep 14, 2015 · Louisville, Ky
M••••• S•••••• wirehouse
Sep 6, 2011 to Jun 26, 2013 · Pittsburgh, Pa

Moves

a registration end followed by a registration begin elsewhere

W•••• F•••• A••••••• to L•• F•••••••• L••
left Feb 18, 2022, registered Feb 15, 2022 (-3 days) · Wirehouse to affiliated broker-dealer or bank
S••••••• P•••••• F••••••••• L•• to W•••• F•••• A•••••••
left Apr 15, 2020, registered Jun 11, 2020 (57 days) · Affiliated broker-dealer or bank to wirehouse
C••• F•••••••• S•••••••• L••• to S••••••• P•••••• F••••••••• L••
left Apr 14, 2020, registered Jan 18, 2017 (-1182 days) · channel change inside one enterprise, not a move
W•••••• • R••• to C••• F•••••••• S•••••••• L•••
left Jan 24, 2017, registered Jan 18, 2017 (-6 days) · Other
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••••• • R•••
left Sep 14, 2015, registered Sep 11, 2015 (-3 days) · Other
M••••• S•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Jun 26, 2013, registered May 31, 2013 (-26 days) · Wirehouse to wirehouse

Signals

D•••• H•••• E••••• left W•••• F•••• A••••••• for L•• F•••••••• L•• (registered 2022-02-15)
Feb 18, 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: 15derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address