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

A••••• L•••• H••••••

W•••• F•••• A•••••••wirehouseIrvine, Ca dual registrantIAPD 6387194

Certified Financial Planner

Feed of 09/15/2026

Also filed as A••••• L•••• H••••••

At current firm

1 y

since Oct 8, 2024

In the industry

14 y

since Aug 1, 2012 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

W•••• F•••• A••••••• wirehouse current
since Oct 8, 2024 · Anaheim, Ca
A•••• C•••• I••••••••• L•• former
Jan 8, 2024 to Jul 26, 2024 · Costa Mesa, Ca
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Nov 5, 2018 to Jan 4, 2024 · New York, Ny
E••••• J•••• national BD
Jun 15, 2018 to Aug 24, 2018 · Corona, Ca

Moves

a registration end followed by a registration begin elsewhere

A•••• C•••• I••••••••• L•• to W•••• F•••• A•••••••
left Jul 26, 2024, registered Oct 8, 2024 (74 days) · RIA to wirehouse
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to A•••• C•••• I••••••••• L••
left Jan 4, 2024, registered Jan 8, 2024 (4 days) · Wirehouse to independent RIA
E••••• J•••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Aug 24, 2018, registered Nov 5, 2018 (73 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team

Signals

A••••• L•••• H•••••• left A•••• C•••• I••••••••• L•• for W•••• F•••• A••••••• (registered 2024-10-08)
Jul 26, 2024 · Advisor changed firm · fact
A••••• L•••• H•••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for A•••• C•••• I••••••••• L•• (registered 2024-01-08)
Jan 4, 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: Wirehousederived
Years in industry: 14derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address