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

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RIA / WealthAdvisor45 years in industry

T••••• H•••• K•••

Advisor at H•••••••• A•••••••• L••

CHICAGO, IL | Wichita, KS

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:69ed849d-dd7b-80b9-9eee-f609880f67e5

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:03 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 2
On other graphs: 0
Observed: Mar 1, 2001 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 publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: May 20, 1981earliest registration or exam on IAPD
Years in industry: 45derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
H•••••••• A•••••••• L••	Bd affiliated wealth	Oct 31, 2022	n/a	yes	CHICAGO, IL\|Wichita, KS	Current employment
H•••••••• 6• H••••••• L••	Former SEC adviser	Jan 3, 2022	Nov 4, 2022	no

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
H•••••••• 6• H••••••• L••	H•••••••• A•••••••• L••	Nov 4, 2022	Oct 31, 2022	-4	Firm change	RIA to ibd
6• M••••••• L••	H•••••••• 6• H••••••• L••	Feb 25, 2022

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
317694:145323:KS:2022-11-04	Nov 4, 2022	Oct 31, 2022	WICHITA, KS	Firm change
283845:317694:KS:2022-02-25	Feb 25, 2022	Jan 3, 2022	WICHITA, KS	Firm change after gap
149777:283845:KS:2016-09-19	Sep 19, 2016	Sep 9, 2016	WICHITA, KS	Firm change

Relationships

Registered with (6)

→ H•••••••• A•••••••• L••Registered adviserregistration: current employment
Oct 31, 2022 to presentfactForm ADV
→ H•••••••• 6• H••••••• L••Registered adviserregistration: previous registration
Jan 3, 2022 to Nov 4, 2022factForm ADV
→ 6• M••••••• L••Registered adviserregistration: previous registration
Sep 9, 2016 to Feb 25, 2022factForm ADV
→ M••••• S••••••

Dated events

Occurred
Nov 4, 2022
Advisor changed firm
T••••• H•••• K••• left H•••••••• 6• H••••••• L•• for H•••••••• A•••••••• L•• (registered 2022-10-31)
Form ADVobserved 7 days ago
Occurred
Feb 25, 2022
Advisor changed firm
T••••• H•••• K••• left 6• M••••••• L•• for H•••••••• 6• H••••••• L•• (registered 2022-01-03)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:69ed849d-dd7b-80b9-9eee-f609880f67e5
First observed: Mar 1, 2001
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.