DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)34 years in industry

C•••• C•••••• M•••••

Advisor at H•••••• I••••••••• I•••

McHenry, IL

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Search this name across graphsid dfx:ria:21a10dd4-bf45-e598-e1e0-5197f8c80edf

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 2:02 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Aug 11, 2004 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•••••• I••••••••• I•••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Aug 25, 1992earliest registration or exam on IAPD
Years in industry: 34derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
H•••••• I••••••••• I•••	Independent wealth	Dec 1, 2023	n/a	yes	McHenry, IL	Current employment
B••••• W••••• A•••••••• L••	Former SEC adviser	Nov 3, 2014	Dec 31, 2023	no	MCHENRY, IL	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
B••••• W••••• A•••••••• L••	H•••••• I••••••••• I•••	Dec 31, 2023	Dec 1, 2023	-30	Firm change	RIA to RIA
L•• F•••••••• L••	B••••• W••••• A•••••••• L••	Oct 30, 2014	Nov 3, 2014

Team moves

••• Locked

Team	Left	Joined	From	Kind
171748:19258:IL:2023-12-31	Dec 31, 2023	Dec 1, 2023	MCHENRY, IL	Firm change

Relationships

Registered with (3)

→ H•••••• I••••••••• I•••Registered adviserregistration: current employment
Dec 1, 2023 to presentfactForm ADV
→ B••••• W••••• A•••••••• L••Registered adviserregistration: previous registration
Nov 3, 2014 to Dec 31, 2023factForm ADV
→ L•• F•••••••• L••Registered adviserregistration: previous registration
Aug 11, 2004 to Oct 30, 2014factForm ADV

Dated events

Occurred
Dec 31, 2023
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:21a10dd4-bf45-e598-e1e0-5197f8c80edf
First observed: Aug 11, 2004
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.