DFX Intelligence

N••••• D•••• E•••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisor33 years in industry

N••••• D•••• E•••••••

Advisor at H••••• I••••••••• M••••••••• L••

Saint Charles, MO | CINCINNATI, OH

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Search this name across graphsid dfx:ria:6fa47935-286c-4d22-9af9-d0305d16f41f

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 9:20 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Aug 23, 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••••• I••••••••• M••••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Apr 6, 1993earliest registration or exam on IAPD
Years in industry: 33derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
H••••• I••••••••• M••••••••• L••	Independent wealth	Jan 8, 2026	n/a	yes	Saint Charles, MO\|CINCINNATI, OH	Current employment
A• W••••• M••••••••• L••	Bd affiliated wealth	Nov 13, 2023	Jan 2, 2026	no	Chesterfield, MO\|St Louis, MO\|Saint Charles, MO

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
A• W••••• M••••••••• L••	H••••• I••••••••• M••••••••• L••	Jan 2, 2026	Jan 8, 2026	6	Firm change	Ibd to RIA
C••••• S••••• A•••••••• I•••	A• W••••• M••••••••• L••	Aug 20, 2020	Nov 13, 2023

Relationships

Registered with (5)

→ H••••• I••••••••• M••••••••• L••Registered adviserregistration: current employment
Jan 8, 2026 to presentfactForm ADV
→ A• W••••• M••••••••• L••Registered adviserregistration: previous registration
Nov 13, 2023 to Jan 2, 2026factForm ADV
→ C••••• S••••• A•••••••• I•••Registered adviserregistration: previous registration
Jun 7, 2017 to Aug 20, 2020factForm ADV
→ N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••

Dated events

Occurred
Jan 2, 2026
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:6fa47935-286c-4d22-9af9-d0305d16f41f
First observed: Aug 23, 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.