DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)10 years in industry

S•••• O••••••• S•••

Advisor at H•••••• T••••••• • K•••• L••

LITTLETON, CO

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Search this name across graphsid dfx:ria:0c1b369a-c7d3-f4c2-d6c2-544fda0d8bc9

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 9:53 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 3
On other graphs: 0
Observed: Nov 16, 2016 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•••••• T••••••• • K•••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: May 1, 2016earliest registration or exam on IAPD
Years in industry: 10derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
H•••••• T••••••• • K•••• L••	Independent wealth	Jun 26, 2026	n/a	yes	LITTLETON, CO	Current employment
D•••••• A•••••••• G•••• • W•••••	Other adviser	Oct 6, 2025	Jun 5, 2026	no	DALLAS, TX\|Evergreen, CO

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
D•••••• A•••••••• G•••• • W•••••	H•••••• T••••••• • K•••• L••	Jun 5, 2026	Jun 26, 2026	21	Firm change	Other
H•••••• T••••••• • K•••• L••	D•••••• A•••••••• G•••• • W•••••	Sep 25, 2025	Oct 6, 2025

Relationships

Registered with (4)

→ H•••••• T••••••• • K•••• L••Registered adviserregistration: previous registration
Nov 20, 2023 to Sep 25, 2025factForm ADV
→ D•••••• A•••••••• G•••• • W•••••Registered adviserregistration: previous registration
Oct 6, 2025 to Jun 5, 2026factForm ADV
→ N••••••••• M••••• I••••••••• S•••••••••Registered adviserregistration: previous registration
May 15, 2018 to Jan 18, 2022factForm ADV
→ B•••• A••••••• U••• I•••

Dated events

Occurred
Jun 5, 2026
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago
Occurred
Sep 25, 2025
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago
Occurred
Jan 18, 2022
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:0c1b369a-c7d3-f4c2-d6c2-544fda0d8bc9
First observed: Nov 16, 2016
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.