DFX Intelligence

R•••••• G••••••• S•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorChartered Financial Analyst28 years in industry

R•••••• G••••••• S•••••

Advisor at H•••••••• A•••••••• L••

CHICAGO, IL | Dallas, TX

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Search this name across graphsid dfx:ria:0896f5ed-184b-1d37-16c2-7a94e1d35644

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:22 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Feb 15, 2010 to Sep 14, 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: H•••••••• A•••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Oct 1, 1997earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
H•••••••• A•••••••• L••	Bd affiliated wealth	Oct 1, 2020	n/a	yes	Dallas, TX\|CHICAGO, IL	Current employment
F••••••• I••••••••• M••••••••• C•	Former SEC adviser	Feb 15, 2010	Nov 16, 2020	no	DALLAS, TX	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
F••••••• I••••••••• M••••••••• C•	H•••••••• A•••••••• L••	Nov 16, 2020	Oct 1, 2020	-46	Bulk transfer	RIA to ibd

Relationships

Registered with (2)

→ H•••••••• A•••••••• L••Registered adviserregistration: current employment
Oct 1, 2020 to presentfactForm ADV
→ F••••••• I••••••••• M••••••••• C•Registered adviserregistration: previous registration
Feb 15, 2010 to Nov 16, 2020factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:0896f5ed-184b-1d37-16c2-7a94e1d35644
First observed: Feb 15, 2010
Last observed: Sep 14, 2026 9 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.