N••••••• L••

Advisor at H•••••••• A•••••••• L••

Houston, TX | 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 graphs

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 12:34 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Mar 12, 2009 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: Mar 9, 2009earliest registration or exam on IAPD
Years in industry: 17derivedfrom the industry start date
Years at current firm: 3derivedfrom 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	Jul 19, 2023	n/a	yes	Houston, TX\|CHICAGO, IL	Current employment
A•••••• W••••• S••••••••	Independent wealth	Nov 29, 2018	Jun 28, 2023	no	HOUSTON, TX

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
A•••••• W••••• S••••••••	H•••••••• A•••••••• L••	Jun 28, 2023	Jul 19, 2023	21	Firm change	RIA to ibd
J••• M••••• S••••••••• L••	A•••••• W••••• S••••••••	Dec 14, 2018	Nov 29, 2018

Team moves

••• Locked

Team	Left	Joined	From	Kind
127186:145323:TX:2023-06-15	Jun 28, 2023	Jul 19, 2023	HOUSTON, TX	Firm change

Relationships

Registered with (5)

→ H•••••••• A•••••••• L••Registered adviserregistration: current employment
Jul 19, 2023 to presentfactForm ADV
→ A•••••• W••••• S••••••••Registered adviserregistration: previous registration
Nov 29, 2018 to Jun 28, 2023factForm ADV
→ J••• M••••• S••••••••• L••Registered adviserregistration: previous registration
Oct 1, 2012 to Dec 14, 2018factForm ADV
→ C•••• I••••••••• S••••••• C••••

Dated events

Order

Occurred
28 Jun 2023
Advisor changed firm
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Mar 12, 2009
Last observed: Sep 14, 2026 10 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.