K••••• G•••

Advisor at H•••••••• A•••••••• L••

Charlotte, NC | CHICAGO, IL

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:6aa95814-5369-eb97-c178-0dcac28ea6e0

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:54 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 2
On other graphs: 0
Observed: Sep 7, 2011 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 15, 2002earliest registration or exam on IAPD
Years in industry: 24derivedfrom 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	Jul 16, 2025	n/a	yes	Charlotte, NC\|CHICAGO, IL	Current employment
H•••••• T••••••• • K•••• L••	Independent wealth	Jan 23, 2024	Sep 6, 2024	no	Conshohocken, PA\|Peoria, IL

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
H•••••• T••••••• • K•••• L••	H•••••••• A•••••••• L••	Sep 6, 2024	Jul 16, 2025	313	Firm change	Ibd to ibd
L•• F•••••••• L••	H•••••• T••••••• • K•••• L••	Jan 26, 2024	Jan 23, 2024

Relationships

Registered with (4)

→ H•••••••• A•••••••• L••Registered adviserregistration: current employment
Jul 16, 2025 to presentfactForm ADV
→ H•••••• T••••••• • K•••• L••Registered adviserregistration: previous registration
Jan 23, 2024 to Sep 6, 2024factForm ADV
→ L•• F•••••••• L••Registered adviserregistration: previous registration
Nov 12, 2014 to Jan 26, 2024factForm ADV
→ F••• A•••••••

Dated events

Occurred
Sep 6, 2024
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago
Occurred
Jan 26, 2024
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:6aa95814-5369-eb97-c178-0dcac28ea6e0
First observed: Sep 7, 2011
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.