DFX Intelligence

d•••• j•••• m•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorChartered Financial Analyst32 years in industry

d•••• j•••• m•••••

Advisor at H•••••••• A•••••••• L••

Aurora, IL | CHICAGO, IL

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Search this name across graphsid dfx:ria:7055ce88-2678-1767-6693-ba13aa5854fc

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:30 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Mar 20, 2012 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: H•••••••• A•••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Jun 20, 1994earliest registration or exam on IAPD
Years in industry: 32derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
H•••••••• A•••••••• L••	Bd affiliated wealth	Jan 4, 2022	n/a	yes	CHICAGO, IL\|Aurora, IL	Current employment
C•••• P••••••••• A•••••••• L••	Former SEC adviser	Jan 3, 2017	Dec 31, 2016	no	AURORA, IL	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
R•••• S••••• A•••••••• L••	C•••• P••••••••• A•••••••• L••	Jun 6, 2013	Jan 9, 2015	582	Firm change after gap	Other

Team moves

••• Locked

Team	Left	Joined	From	Kind
157447:145323:IL:2016-12-31	Dec 31, 2016	Jan 4, 2022	AURORA, IL	Firm change after gap

Relationships

Registered with (3)

→ H•••••••• A•••••••• L••Registered adviserregistration: current employment
Jan 4, 2022 to presentfactForm ADV
→ C•••• P••••••••• A•••••••• L••Registered adviserregistration: previous registration
Jan 9, 2015 to Feb 15, 2022factForm ADV
→ R•••• S••••• A•••••••• L••Registered adviserregistration: previous registration
Mar 20, 2012 to Jun 6, 2013factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:7055ce88-2678-1767-6693-ba13aa5854fc
First observed: Mar 20, 2012
Last observed: Sep 14, 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.