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

R•••• H•••••

S•••••••• A••••••• L••national BDChicago, Ildual registrantIAPD 7267914

Feed of 09/14/2026

At current firm

1 y

since Mar 31, 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

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

S•••••••• A••••••• L•• national BD current
since Mar 31, 2025 · Chicago, Il
F••••••• P••••••• A•• W•••••••• A••••••• former
Aug 5, 2024 to Mar 31, 2025 · Westlake, Tx
W•••• F•••• A••••••• wirehouse
May 16, 2023 to Dec 21, 2023 · Schaumburg, Il
A•••• I••••••••• A•••••••• L•• mixed wealth
Nov 4, 2022 to Mar 22, 2023 · Deerfield, Il

Moves

a registration end followed by a registration begin elsewhere

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
W•••• F•••• A••••••• to F••••••• P••••••• A•• W•••••••• A•••••••
left Dec 21, 2023, registered Aug 5, 2024 (228 days) · Wirehouse to affiliated broker-dealer or bank
A•••• I••••••••• A•••••••• L•• to W•••• F•••• A•••••••
left Mar 22, 2023, registered May 16, 2023 (55 days) · RIA to wirehouse

Signals

R•••• H••••• left W•••• F•••• A••••••• for F••••••• P••••••• A•• W•••••••• A••••••• (registered 2024-08-05)
Dec 21, 2023 · Advisor changed firm · fact
R•••• H••••• left A•••• I••••••••• A•••••••• L•• for W•••• F•••• A••••••• (registered 2023-05-16)
Mar 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: National broker-dealer RIAderived
Years in industry: 10derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address