DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Planner19 years in industry

P•••• P•••••• D•••••

Advisor at H•••••••• A•••••••• L••

Cleveland, OH

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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 23, 2026, 9:24 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Dec 7, 2006 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: Dec 7, 2006earliest registration or exam on IAPD
Years in industry: 19derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
H•••••••• A•••••••• L••	Bd affiliated wealth	May 14, 2019	n/a	yes	Cleveland, OH	Current employment
F••••••• A•••• M•••••••••	Former SEC adviser	Jan 19, 2017	Sep 11, 2019	no	CLEVELAND, OH	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
F••••••• A•••• M•••••••••	H•••••••• A•••••••• L••	Sep 11, 2019	May 14, 2019	-120	Firm change after gap	RIA to ibd
F••••••• A•••• M••••••••• L••	F••••••• A•••• M•••••••••	Nov 30, 2007	Dec 4, 2007

Team moves

••• Locked

Team	Left	Joined	From	Kind
145182:145323:OH:2019-09-11	Sep 11, 2019	May 14, 2019	CLEVELAND, OH	Firm change after gap

Relationships

Registered with (3)

→ H•••••••• A•••••••• L••Registered adviserregistration: current employment
May 14, 2019 to presentfactForm ADV
→ F••••••• A•••• M•••••••••Registered adviserregistration: previous registration
Jan 19, 2017 to Sep 11, 2019factForm ADV
→ F••••••• A•••• M••••••••• L••Registered adviserregistration: previous registration
Dec 7, 2006 to Nov 30, 2007factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Dec 7, 2006
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.