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

D••••• D•••••• K••

H•••••••• A•••••••• L••BD affiliatedChicago, Il IA-onlyIAPD 7147403

Certified Financial Planner

Feed of 09/15/2026

At current firm

1 y

since May 28, 2025

In the industry

10 y

since Sep 1, 2016 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65

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 May 28, 2025 · Los Angeles, Ca
N••••••••• A•••• M••••••••• L•• independent RIA
Jan 6, 2025 to Apr 29, 2025 · Pasedena, Ca
N••••••••• A•••• M••••••••• L•• independent RIA
Jun 4, 2024 to Dec 31, 2024 · Pasadena, Ca
C•••••••• W••••• former
Apr 19, 2024 to Jul 25, 2024 · Pasadena, Ca
L••• independent RIA
Jan 20, 2022 to Apr 8, 2024 · Los Angeles, Ca
R••••••• W••••• M••••••••• independent RIA
Sep 20, 2021 to Jan 20, 2022 · Cerritos, Ca

Moves

a registration end followed by a registration begin elsewhere

N••••••••• A•••• M••••••••• L•• to H•••••••• A•••••••• L••
left Apr 29, 2025, registered May 28, 2025 (29 days) · RIA to affiliated broker-dealer or bank
C•••••••• W••••• to N••••••••• A•••• M••••••••• L••
left Jul 25, 2024, registered Jun 4, 2024 (-51 days) · corporate re-registration, not a move
L••• to C•••••••• W•••••
left Apr 8, 2024, registered Apr 19, 2024 (11 days) · RIA to RIA
R••••••• W••••• M••••••••• to L•••
left Jan 20, 2022, registered Jan 20, 2022 (0 days) · RIA to RIA

Signals

D••••• D•••••• K•• left N••••••••• A•••• M••••••••• L•• for H•••••••• A•••••••• L•• (registered 2025-05-28)
Apr 29, 2025 · Advisor changed firm · fact
D••••• D•••••• K•• left Lido for C•••••••• W••••• (registered 2024-04-19)
Apr 8, 2024 · Advisor changed firm · fact
D••••• D•••••• K•• left R••••••• W••••• M••••••••• for Lido (registered 2022-01-20)
Jan 20, 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