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

L••• C••••••

M•••••• H••••••• F•••••••• A•••••••independent RIAWest Des Moines, Iadual registrantIAPD 6479224

Feed of 09/14/2026

Also filed as L••• Louis C••••••

At current firm

2 y

since Jan 5, 2024

In the industry

10 y

since Feb 19, 2016 (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

M•••••• H••••••• F•••••••• A••••••• independent RIA current
since Jan 5, 2024 · West Des Moines, Ia
C••••• I••••••••• A••••••• L•• BD affiliated
Sep 7, 2023 to Nov 27, 2023 · Overland Park, Ks
L••••• F•••••••• unclassified
Sep 9, 2021 to Jan 5, 2022 · Clifton, Ks
C••••• I••••••••• A••••••• L•• BD affiliated
Nov 25, 2019 to Sep 15, 2021 · Overland Park, Ks

Moves

a registration end followed by a registration begin elsewhere

C••••• I••••••••• A••••••• L•• to M•••••• H••••••• F•••••••• A•••••••
left Nov 27, 2023, registered Jan 5, 2024 (39 days) · Affiliated broker-dealer or bank to independent RIA
L••••• F•••••••• to C••••• I••••••••• A••••••• L••
left Jan 5, 2022, registered Sep 7, 2023 (610 days) · Other
C••••• I••••••••• A••••••• L•• to L••••• F••••••••
left Sep 15, 2021, registered Sep 9, 2021 (-6 days) · Other

Signals

L••• C•••••• left C••••• I••••••••• A••••••• L•• for M•••••• H••••••• F•••••••• A••••••• (registered 2024-01-05)
Nov 27, 2023 · Advisor changed firm · fact
L••• C•••••• left L••••• F•••••••• for C••••• I••••••••• A••••••• L•• (registered 2023-09-07)
Jan 5, 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: Independent wealth managerderived
Years in industry: 10derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address