DFX Intelligence

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

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RIA / WealthAdvisor30 years in industry

S•••• W••••••• C•••••

Advisor at H•••••••• A•••••••• L••

Washington, DC | CHICAGO, IL

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Search this name across graphsid dfx:ria:1a208245-1eb7-5080-7a41-de5310433158

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:33 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 1
On other graphs: 0
Observed: Jun 25, 1997 to Sep 15, 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, 1996earliest registration or exam on IAPD
Years in industry: 30derivedfrom the industry start date
Years at current firm: 1derivedfrom 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	Jan 1, 2025	n/a	yes	CHICAGO, IL\|Washington, DC	Current employment
F••• M••••• • W••••••••• L••	Former SEC adviser	Jun 25, 1997	Jun 30, 2022	no	W•••••••••, DC

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
F••• M••••• • W••••••••• L••	H•••••••• A•••••••• L••	Jun 30, 2022	Jan 1, 2025	916	Firm change after gap	RIA to ibd

Team moves

••• Locked

Team	Left	Joined	From	Kind
107553:145323:DC:2022-06-30	Jun 30, 2022	Jan 1, 2025	W•••••••••, DC	Firm change after gap

Relationships

Registered with (2)

→ H•••••••• A•••••••• L••Registered adviserregistration: current employment
Jan 1, 2025 to presentfactForm ADV
→ F••• M••••• • W••••••••• L••Registered adviserregistration: previous registration
Jun 25, 1997 to Jun 30, 2022factForm ADV

Dated events

Occurred
Jun 30, 2022
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:1a208245-1eb7-5080-7a41-de5310433158
First observed: Jun 25, 1997
Last observed: Sep 15, 2026 7 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.