DFX Intelligence

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

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RIA / WealthAdvisorChartered Financial Analyst26 years in industry

K••• R••••••• H•••••

Advisor at A••••••• F••••••••• L•••

FOLSOM, CA | ALBUQUERQUE, NM

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Search this name across graphsid dfx:ria:6ac8df47-cf50-00ab-057f-7768ace16669

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 11:33 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Feb 12, 2003 to Sep 14, 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: A••••••• F••••••••• L•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Mar 1, 2000earliest registration or exam on IAPD
Years in industry: 26derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
A••••••• F••••••••• L•••	Bd affiliated wealth	Jun 2, 2022	n/a	yes	ALBUQUERQUE, NM\|FOLSOM, CA	Current employment
U•• W••••• A•••••••	Former SEC adviser	Nov 9, 2004	Jun 30, 2022	no	ALBUQUERQUE, NM	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
U•• W••••• A•••••••	A••••••• F••••••••• L•••	Jun 30, 2022	Jun 2, 2022	-28	Firm change	RIA to ibd
U•••••••• A••••••• S••••••• I••	U•• W••••• A•••••••	Jul 8, 2005	Nov 9, 2004

Team moves

••• Locked

Team	Left	Joined	From	Kind
132903:111167:NM:2022-06-30	Jun 30, 2022	Jun 2, 2022	ALBUQUERQUE, NM	Firm change

Relationships

Registered with (3)

→ A••••••• F••••••••• L•••Registered adviserregistration: current employment
Jun 2, 2022 to presentfactForm ADV
→ U•• W••••• A•••••••Registered adviserregistration: previous registration
Nov 9, 2004 to Jun 30, 2022factForm ADV
→ U•••••••• A••••••• S••••••• I••Registered adviserregistration: previous registration
Feb 12, 2003 to Jul 8, 2005factForm ADV

Dated events

Occurred
Jun 30, 2022
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:6ac8df47-cf50-00ab-057f-7768ace16669
First observed: Feb 12, 2003
Last observed: Sep 14, 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.