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.

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Registered advisor

B•••• L•

W•••• F•••• A•••••••wirehouseSan Jose, Cadual registrantIAPD 6432037

Feed of 09/14/2026

Also filed as Hung Le

At current firm

1 y

since Jul 29, 2025

In the industry

20 y

since Nov 1, 2005 (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 Jul 29, 2025 · San Jose, Ca
S•••••••• A••••••• L•• national BD
Mar 31, 2025 to Jul 31, 2025 · Campbell, Ca
F••••••• P••••••• A•• W•••••••• A••••••• former
Mar 26, 2024 to Mar 31, 2025 · Campbell, Ca
M••••• S•••••• wirehouse
Sep 5, 2023 to Dec 22, 2023 · Cupertino, Ca
E•••••• C•••••• M••••••••• L•• former
Sep 26, 2017 to Sep 5, 2023 · Cupertino, Ca

Moves

a registration end followed by a registration begin elsewhere

S•••••••• A••••••• L•• to W•••• F•••• A•••••••
left Jul 31, 2025, registered Jul 29, 2025 (-2 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••
left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
M••••• S•••••• to F••••••• P••••••• A•• W•••••••• A•••••••
left Dec 22, 2023, registered Mar 26, 2024 (95 days) · Wirehouse to affiliated broker-dealer or bank
E•••••• C•••••• M••••••••• L•• to M••••• S••••••
left Sep 5, 2023, registered Sep 5, 2023 (0 days) · corporate re-registration, not a move

Signals

B•••• L• left S•••••••• A••••••• L•• for W•••• F•••• A••••••• (registered 2025-07-29)
Jul 31, 2025 · Advisor changed firm · fact
B•••• L• left M••••• S•••••• for F••••••• P••••••• A•• W•••••••• A••••••• (registered 2024-03-26)
Dec 22, 2023 · 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: 20derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address