DFX Intelligence

T•••••• M••• M••••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisor21 years in industry

T•••••• M••• M••••••••

Advisor at H•••••••• A•••••••• L••

Spokane, WA | CHICAGO, IL

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Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 12:01 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Mar 28, 2008 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 31, 2005earliest registration or exam on IAPD
Years in industry: 21derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
H•••••••• A•••••••• L••	Bd affiliated wealth	Jun 23, 2023	n/a	yes	Spokane, WA\|CHICAGO, IL	Current employment
T•• C•••••• W••••• A•••••••• L••	Former SEC adviser	Feb 27, 2012	Nov 29, 2023	no	SPOKANE, WA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
T•• C•••••• W••••• A•••••••• L••	H•••••••• A•••••••• L••	Nov 29, 2023	Jun 23, 2023	-159	Firm change after gap	RIA to ibd
R•••••••• M•••••• • P•••••••• I•••	T•• C•••••• W••••• A•••••••• L••	Apr 23, 2012	Feb 27, 2012

Team moves

••• Locked

Team	Left	Joined	From	Kind
159802:145323:WA:2023-11-29	Nov 29, 2023	Jun 23, 2023	SPOKANE, WA	Firm change after gap

Relationships

Registered with (3)

→ H•••••••• A•••••••• L••Registered adviserregistration: current employment
Jun 23, 2023 to presentfactForm ADV
→ T•• C•••••• W••••• A•••••••• L••Registered adviserregistration: previous registration
Feb 27, 2012 to Nov 29, 2023factForm ADV
→ R•••••••• M•••••• • P•••••••• I•••Registered adviserregistration: previous registration
Mar 28, 2008 to Apr 23, 2012factForm ADV

Dated events

Order

Occurred
29 Nov 2023
Advisor changed firm
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Mar 28, 2008
Last observed: Sep 15, 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.