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

J•••••• L•• H••••

P•••••••• S••••••••• I•••BD affiliatedWestlake, Oh dual registrantIAPD 708600

Certified Financial Planner

Feed of 09/15/2026

At current firm

12 y

since Oct 24, 2013

In the industry

45 y

since Mar 5, 1981 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

P•••••••• S••••••••• I••• BD affiliated current
since Oct 24, 2013 · Westlake, Oh
P•• W••••• M••••••••• BD affiliated
Jun 1, 2011 to Jan 18, 2013 · Cleveland, Oh
K•• I••••••••• S••••••• L•• BD affiliated
Jun 25, 2009 to Apr 15, 2011 · Cleveland, Oh
H••••••••• F•••••••• A••••••• BD affiliated
Nov 5, 2007 to Jun 2, 2009 · Willoughby, Oh
S••••••• I••••••••• A•••••••• I••• other
Jan 1, 2007 to May 14, 2007 · Portland, Or
I•••••••• A••••••• I•• unclassified
Jan 25, 2006 to Jan 1, 2007 · Cleveland, Oh

Moves

a registration end followed by a registration begin elsewhere

P•• W••••• M••••••••• to P•••••••• S••••••••• I•••
left Jan 18, 2013, registered Oct 24, 2013 (279 days) · Other
K•• I••••••••• S••••••• L•• to P•• W••••• M•••••••••
left Apr 15, 2011, registered Jun 1, 2011 (47 days) · Other
H••••••••• F•••••••• A••••••• to K•• I••••••••• S••••••• L••
left Jun 2, 2009, registered Jun 25, 2009 (23 days) · Other
S••••••• I••••••••• A•••••••• I••• to H••••••••• F•••••••• A•••••••
left May 14, 2007, registered Nov 5, 2007 (175 days) · Other
I•••••••• A••••••• I•• to S••••••• I••••••••• A•••••••• I•••
left Jan 1, 2007, registered Jan 1, 2007 (0 days) · Other

Signals

No dated event on this person.

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: 45derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address