DFX Intelligence

C•••••••• E•••••• M••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Planner13 years in industry

C•••••••• E•••••• M••••••

Advisor at H•••••••• A•••••••• L••

CHICAGO, IL | Arlington, VA

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Search this name across graphsid dfx:ria:14cc8330-344c-6e96-7a07-5fcd0cc052da

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 5:33 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Jan 16, 2019 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: Jun 1, 2013earliest registration or exam on IAPD
Years in industry: 13derivedfrom the industry start date
Years at current firm: 4derivedfrom 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 29, 2021	n/a	yes	CHICAGO, IL\|Arlington, VA	Current employment
A••••••••• C••••••	Former SEC adviser	Jan 16, 2019	Dec 6, 2021	no	ARLINGTON, VA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
A••••••••• C••••••	H•••••••• A•••••••• L••	Dec 6, 2021	Oct 29, 2021	-38	Firm change after gap	RIA to ibd

Team moves

••• Locked

Team	Left	Joined	From	Kind
129120:145323:VA:2021-12-06	Dec 6, 2021	Oct 29, 2021	ARLINGTON, VA	Firm change after gap

Relationships

Registered with (2)

→ H•••••••• A•••••••• L••Registered adviserregistration: current employment
Oct 29, 2021 to presentfactForm ADV
→ A••••••••• C••••••Registered adviserregistration: previous registration
Jan 16, 2019 to Dec 6, 2021factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:14cc8330-344c-6e96-7a07-5fcd0cc052da
First observed: Jan 16, 2019
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.