DFX Intelligence

D•••• A•••• B••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorChartered Financial Consultantdual registered (broker-dealer)39 years in industry

D•••• A•••• B••••

Advisor at H•••••••• F•••••••• S•••••••• L•••

••• Locked

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Search this name across graphsid dfx:ria:2d77cf1c-cacf-53a9-071d-f9df546f0868

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 1:10 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Feb 1, 1999 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•••••••• F•••••••• S•••••••• L•••
Current firm class: state registeredderived
Book size: not public••• Locked
Industry start: Feb 6, 1987earliest registration or exam on IAPD
Years in industry: 39derivedfrom the industry start date
Years at current firm: 17derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
H•••••••• F•••••••• S•••••••• L•••	State registered	Oct 30, 2023	n/a	yes	CEDAR FALLS, IA	Current employment
G•• S••••••••• I•••	Bd affiliated wealth	Feb 10, 2009	n/a	yes	PALM BEACH GARDENS, FL\|CEDAR FALLS, IA\|PALM BEACH GARDENS, FL

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
H•••••••• F•••••••• S•••••••• L•••	G•• S••••••••• I•••	Dec 31, 2022	Feb 10, 2009	-5,072	Firm change after gap	Other

Relationships

Registered with (2)

→ H•••••••• F•••••••• S•••••••• L•••Registered adviserregistration: previous registration
Feb 1, 1999 to Dec 31, 2022factForm ADV
→ G•• S••••••••• I•••Registered adviserregistration: current employment
Feb 10, 2009 to presentfactForm ADV

Dated events

Occurred
Dec 31, 2022
Advisor changed firm
D•••• A•••• B•••• left H•••••••• F•••••••• S•••••••• L••• for G•• S••••••••• I••• (registered 2009-02-10)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:2d77cf1c-cacf-53a9-071d-f9df546f0868
First observed: Feb 1, 1999
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.