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H••••• L•• B••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorChartered Financial Consultantdual registered (broker-dealer)40 years in industry

H••••• L•• B••••

Advisor at C••••• I••••••••• A••••••• L••

LOUDONVILLE, NY | WARWICK, NY | POUGHKEEPSIE, NY

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Search this name across graphsid dfx:ria:06a3c1b4-2b02-4a30-186b-8970b91fc872

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 11:28 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Sep 23, 1997 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: C••••• I••••••••• A••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: May 7, 1986earliest registration or exam on IAPD
Years in industry: 40derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••••• I••••••••• A••••••• L••	Bd affiliated wealth	Jun 29, 2023	n/a	yes	WARWICK, NY\|POUGHKEEPSIE, NY\|LOUDONVILLE, NY	Current employment
N••••• • L•••• S••••••••• I•••	n/a	Sep 23, 1997	Jan 27, 2003	no	ALBANY, NY

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
N••••• • L•••• S••••••••• I•••	C••••• I••••••••• A••••••• L••	Jan 27, 2003	Jun 29, 2023	7,458	Firm change after gap	Other

Relationships

Registered with (2)

→ C••••• I••••••••• A••••••• L••Registered adviserregistration: current employment
Jun 29, 2023 to presentfactForm ADV
→ N••••• • L•••• S••••••••• I•••Registered adviserregistration: previous registration
Sep 23, 1997 to Jan 27, 2003factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:06a3c1b4-2b02-4a30-186b-8970b91fc872
First observed: Sep 23, 1997
Last observed: Sep 15, 2026 7 days ago
Source families: Federal regulator filings
1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.