DFX Intelligence

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

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RIA / WealthAdvisor29 years in industry

S•••••• D•••• D•••••••

Advisor at H••••• I••••••••• M••••••••• L••

CINCINNATI, OH | TRAIL CREEK, IN

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Search this name across graphs

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 6:31 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Sep 7, 2007 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••••• I••••••••• M••••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: May 9, 1997earliest registration or exam on IAPD
Years in industry: 29derivedfrom the industry start date
Years at current firm: 12derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
H••••• I••••••••• M••••••••• L••	Independent wealth	Sep 8, 2014	n/a	yes	TRAIL CREEK, IN\|CINCINNATI, OH	Current employment
T••••••••• F•••••••• A•••••••• L••	Bd affiliated wealth	Jan 6, 2012	Sep 4, 2014	no	OAKBROOK TERRACE, IL\|Hoffman Estates, IL

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
T••••••••• F•••••••• A•••••••• L••	H••••• I••••••••• M••••••••• L••	Sep 4, 2014	Sep 8, 2014	4	Firm change	Other
I••••••••• A••••••• I••••••••• I•••	T••••••••• F•••••••• A•••••••• L••	Jan 6, 2012	Jan 6, 2012

Relationships

Registered with (5)

→ H••••• I••••••••• M••••••••• L••Registered adviserregistration: current employment
Sep 8, 2014 to presentfactForm ADV
→ T••••••••• F•••••••• A•••••••• L••Registered adviserregistration: previous registration
Jan 6, 2012 to Sep 4, 2014factForm ADV
→ I••••••••• A••••••• I••••••••• I•••Registered adviserregistration: previous registration
Nov 8, 2010 to Jan 6, 2012factForm ADV
→ R•••••• W••••• A•••••••• I•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Sep 7, 2007
Last observed: Sep 15, 2026 8 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.