DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)39 years in industry

H•••••• B••••••• R•••••

Advisor at A••••••••• F•••••••• S•••••••• L••

MANITOWOC, WI

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Search this name across graphsid dfx:ria:09b002bd-3f9c-c6ad-8c86-3423295d61cc

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 6:28 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Jan 1, 1999 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: A••••••••• F•••••••• S•••••••• L••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Jan 30, 1987earliest registration or exam on IAPD
Years in industry: 39derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
A••••••••• F•••••••• S•••••••• L••	National bd RIA	Oct 17, 2025	n/a	yes	MANITOWOC, WI	Current employment
S•••••• N••••••• • C••••••• I•••••••••	National bd RIA	Mar 16, 2018	Oct 29, 2025	no	SHEBOYGAN, WI\|WEST BEND, WI\|WEST BEND, WI

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
S•••••• N••••••• • C••••••• I•••••••••	A••••••••• F•••••••• S•••••••• L••	Oct 29, 2025	Oct 17, 2025	-12	Firm change	Ibd to ibd
B• C• Z•••••• A•• C••••••	S•••••• N••••••• • C••••••• I•••••••••	Mar 16, 2018	Mar 16, 2018

Relationships

Registered with (3)

→ A••••••••• F•••••••• S•••••••• L••Registered adviserregistration: current employment
Oct 17, 2025 to presentfactForm ADV
→ S•••••• N••••••• • C••••••• I•••••••••Registered adviserregistration: previous registration
Mar 16, 2018 to Oct 29, 2025factForm ADV
→ B• C• Z•••••• A•• C••••••Registered adviserregistration: previous registration
Jan 1, 1999 to Mar 16, 2018factForm ADV

Dated events

Occurred
Oct 29, 2025
Advisor changed firm
H•••••• B••••••• R••••• left S•••••• N••••••• • C••••••• I••••••••• for A••••••••• F•••••••• S•••••••• L•• (registered 2025-10-17)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:09b002bd-3f9c-c6ad-8c86-3423295d61cc
First observed: Jan 1, 1999
Last observed: Sep 14, 2026 8 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.