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

T•••••• J••• L••••

H•••••••• A•••••••• L••BD affiliatedChicago, Il IA-onlyIAPD 6587372

Feed of 09/15/2026

Also filed as T•••••• L••••

At current firm

3 y

since Oct 31, 2022

In the industry

10 y

since Nov 1, 2015 (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 Oct 31, 2022 · Wichita, Ks
H•••••••• 6• H••••••• L•• former
Jan 4, 2022 to Nov 19, 2022 · Wichita, Ks
6• M••••••• L•• former
May 18, 2021 to Feb 25, 2022 · Chicago, Il
K•••••• W••••• M••••••••• independent RIA
Feb 1, 2019 to Feb 25, 2021 · Chicago, Il
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Apr 29, 2016 to Jan 29, 2019 · Northbrook, Il

Moves

a registration end followed by a registration begin elsewhere

H•••••••• 6• H••••••• L•• to H•••••••• A•••••••• L••
left Nov 19, 2022, registered Oct 31, 2022 (-19 days) · RIA to affiliated broker-dealer or bank · moved with a team
6• M••••••• L•• to H•••••••• 6• H••••••• L••
left Feb 25, 2022, registered Jan 4, 2022 (-52 days) · RIA to a newly registered adviser
K•••••• W••••• M••••••••• to 6• M••••••• L••
left Feb 25, 2021, registered May 18, 2021 (82 days) · RIA to RIA
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to K•••••• W••••• M•••••••••
left Jan 29, 2019, registered Feb 1, 2019 (3 days) · Wirehouse to independent RIA

Signals

T•••••• J••• L•••• left H•••••••• 6• H••••••• L•• for H•••••••• A•••••••• L•• (registered 2022-10-31)
Nov 19, 2022 · Advisor changed firm · fact
T•••••• J••• L•••• left 6• M••••••• L•• for H•••••••• 6• H••••••• L•• (registered 2022-01-04)
Feb 25, 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: 10derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address