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•••• C•••••

H•••••••• A•••••••• L••BD affiliatedNewport Beach, Ca IA-onlyIAPD 6231919

Certified Financial Planner

Feed of 09/14/2026

At current firm

1 y

since Jan 1, 2025

In the industry

12 y

since Oct 1, 2013 (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 Jan 1, 2025 · Newport Beach, Ca
J•• A••••••• independent RIA
May 3, 2022 to Feb 13, 2023 · Newport Beach, Ca
M••••••••• F•••••••• G•••• independent RIA
Jul 16, 2018 to Apr 20, 2022 · Bellevue, Wa
C••••• A•••••• N••••••• L•• former
Nov 18, 2014 to Jul 19, 2018 · Bellevue, Wa

Moves

a registration end followed by a registration begin elsewhere

J•• A••••••• to H•••••••• A•••••••• L••
left Feb 13, 2023, registered Jan 1, 2025 (688 days) · RIA to affiliated broker-dealer or bank
M••••••••• F•••••••• G•••• to J•• A•••••••
left Apr 20, 2022, registered May 3, 2022 (13 days) · RIA to RIA
C••••• A•••••• N••••••• L•• to M••••••••• F•••••••• G••••
left Jul 19, 2018, registered Jul 16, 2018 (-3 days) · Affiliated broker-dealer or bank to a newly registered adviser · moved with a team

Signals

B••••• R•••• C••••• left J•• A••••••• for H•••••••• A•••••••• L•• (registered 2025-01-01)
Feb 13, 2023 · a•••••• firm change · fact
B••••• R•••• C••••• left M••••••••• F•••••••• G•••• for J•• A••••••• (registered 2022-05-03)
Apr 20, 2022 · a•••••• firm change · 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