DFX Intelligence

I•• M•••••• U•••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Planner20 years in industry

I•• M•••••• U•••

Advisor at H•••••••• A•••••••• L••

CHICAGO, IL | Dallas, TX

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Search this name across graphsid dfx:ria:1a00f6cd-cb7b-54e3-692d-4a6b35fa45e8

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 6:53 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 0
On other graphs: 0
Observed: Oct 11, 2005 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 10, 2005earliest registration or exam on IAPD
Years in industry: 20derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 6

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
H•••••••• A•••••••• L••	Bd affiliated wealth	Oct 4, 2020	n/a	yes	Dallas, TX\|CHICAGO, IL	Current employment
F••••••• I••••••••• M••••••••• C•	Former SEC adviser	Jul 23, 2019	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 4, 2020	-43	Bulk transfer	RIA to ibd
U••• I••••••••• S••••••• C••••••	F••••••• I••••••••• M••••••••• C•	Jul 3, 2019	Jul 23, 2019

Team moves

••• Locked

Team	Left	Joined	From	Kind
106352:5475:TX:2015-02-12	Feb 26, 2015	Feb 16, 2015	DALLAS, TX	Firm change

Relationships

Registered with (7)

→ H•••••••• A•••••••• L••Registered adviserregistration: current employment
Oct 4, 2020 to presentfactForm ADV
→ F••••••• I••••••••• M••••••••• C•Registered adviserregistration: previous registration
Jul 23, 2019 to Nov 16, 2020factForm ADV
→ U••• I••••••••• S••••••• C••••••Registered adviserregistration: previous registration
Feb 16, 2015 to Jul 3, 2019factForm ADV
→ U••• F•••••••• P••••••• S•••••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:1a00f6cd-cb7b-54e3-692d-4a6b35fa45e8
First observed: Oct 11, 2005
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.