I•••••• H••••••

Advisor at H•••••••• A•••••••• L••

Portsmouth, NH | CHICAGO, IL

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:28ce1340-5476-8083-0eda-907d0162a000

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 4:38 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Aug 23, 2001 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: Aug 10, 1998earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
H•••••••• A•••••••• L••	Bd affiliated wealth	Jun 30, 2023	n/a	yes	Portsmouth, NH\|CHICAGO, IL	Current employment
V••••••• W••••• M•••••••••	Former SEC adviser	Sep 24, 2018	Jul 20, 2023	no	Portsmouth, NH\|PORTLAND, ME

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
V••••••• W••••• M•••••••••	H•••••••• A•••••••• L••	Jul 20, 2023	Jun 30, 2023	-20	Firm change	RIA to ibd
W•••••• B•••• • C•••••• L•••••	V••••••• W••••• M•••••••••	Sep 11, 2018	Sep 24, 2018

Team moves

••• Locked

Team	Left	Joined	From	Kind
119642:145323:ME:2023-07-19	Jul 20, 2023	Jun 30, 2023	PORTLAND, ME	Firm change

Relationships

Registered with (5)

→ H•••••••• A•••••••• L••Registered adviserregistration: current employment
Jun 30, 2023 to presentfactForm ADV
→ V••••••• W••••• M•••••••••Registered adviserregistration: previous registration
Sep 24, 2018 to Jul 20, 2023factForm ADV
→ W•••••• B•••• • C•••••• L•••••Registered adviserregistration: previous registration
Aug 8, 2014 to Sep 11, 2018factForm ADV
→ R•••••••• I•••••••••

Dated events

Occurred
Jul 20, 2023
Advisor changed firm
I•••••• H•••••• left V••••••• W••••• M••••••••• for H•••••••• A•••••••• L•• (registered 2023-06-30)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:28ce1340-5476-8083-0eda-907d0162a000
First observed: Aug 23, 2001
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.