DFX Intelligence

K•••••• J••• L•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Planner|Chartered Financial Consultant35 years in industry

K•••••• J••• L•••••

Advisor at H•••••••• A•••••••• L••

San Francisco, CA

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Search this name across graphs

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 2:12 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Apr 5, 1995 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: Aug 7, 1991earliest registration or exam on IAPD
Years in industry: 35derivedfrom the industry start date
Years at current firm: 6derivedfrom 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	Feb 21, 2020	n/a	yes	San Francisco, CA	Current employment
S•••••• C••••••	Former SEC adviser	Apr 5, 1995	Mar 31, 2020	no	SAN FRANCISCO, CA\|SAN FRANCISCO, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
S•••••• C••••••	H•••••••• A•••••••• L••	Mar 31, 2020	Feb 21, 2020	-39	Firm change after gap	RIA to ibd

Team moves

••• Locked

Team	Left	Joined	From	Kind
106964:145323:CA:2020-03-31	Mar 31, 2020	Feb 21, 2020	SAN FRANCISCO, CA	Firm change after gap

Relationships

Registered with (2)

→ H•••••••• A•••••••• L••Registered adviserregistration: current employment
Feb 21, 2020 to presentfactForm ADV
→ S•••••• C••••••Registered adviserregistration: previous registration
Apr 5, 1995 to Mar 31, 2020factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Apr 5, 1995
Last observed: Sep 14, 2026 10 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.