DFX Intelligence

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

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RIA / WealthAdvisor36 years in industry

M••••••• R• P•••••

Advisor at H•••••••• A•••••••• L••

Denver, CO | CHICAGO, IL

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Search this name across graphsid dfx:ria:5a602710-1f28-11cd-5cd9-8c741eb6a88d

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 11:12 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jan 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•••••••• A•••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Jan 12, 1990earliest registration or exam on IAPD
Years in industry: 36derivedfrom the industry start date
Years at current firm: 1derivedfrom 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	Jan 1, 2025	n/a	yes	CHICAGO, IL\|Denver, CO	Current employment
I••••••••• S••••••• G••••• I•••	Former SEC adviser	Jan 23, 2008	Nov 9, 2021	no	LAKEWOOD, CO\|DENVER, CO

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
I••••••••• S••••••• G••••• I•••	H•••••••• A•••••••• L••	Nov 9, 2021	Jan 1, 2025	1,149	Firm change after gap	RIA to ibd
I••••••••• C••••••• I••	I••••••••• S••••••• G••••• I•••	Apr 7, 2008	Jan 23, 2008

Team moves

••• Locked

Team	Left	Joined	From	Kind
136568:145323:CO:2021-11-09	Nov 9, 2021	Jan 1, 2025	DENVER, CO	Firm change after gap

Relationships

Registered with (4)

→ H•••••••• A•••••••• L••Registered adviserregistration: current employment
Jan 1, 2025 to presentfactForm ADV
→ I••••••••• S••••••• G••••• I•••Registered adviserregistration: previous registration
Jan 23, 2008 to Nov 9, 2021factForm ADV
→ I••••••••• C••••••• I••Registered adviserregistration: previous registration
May 22, 2007 to Apr 7, 2008factForm ADV
→ S••• I••••••••• M••••••••• I•••Registered adviserregistration: previous registration

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:5a602710-1f28-11cd-5cd9-8c741eb6a88d
First observed: Jan 1, 1999
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.