DFX Intelligence

S••••• P•••••• P••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Planner25 years in industry

S••••• P•••••• P••••

Advisor at H•••••••• A•••••••• L••

CHICAGO, IL | Dade City, FL

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Search this name across graphsid dfx:ria:778705c9-5842-a388-c24d-a70ed4fbb82c

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 12:45 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Sep 28, 2000 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: Sep 28, 2000earliest registration or exam on IAPD
Years in industry: 25derivedfrom the industry start date
Years at current firm: 5derivedfrom 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	Oct 21, 2020	n/a	yes	Dade City, FL\|CHICAGO, IL	Current employment
F••••••• I••••••••• M••••••••• C•	Former SEC adviser	Jul 13, 2020	Nov 16, 2020	no	DALLAS, TX\|Dade City, FL

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
F••••••• I••••••••• M••••••••• C•	H•••••••• A•••••••• L••	Nov 16, 2020	Oct 21, 2020	-26	Bulk transfer	RIA to ibd
U••• I••••••••• S••••••• C••••••	F••••••• I••••••••• M••••••••• C•	Jun 22, 2020	Jul 13, 2020

Relationships

Registered with (5)

→ H•••••••• A•••••••• L••Registered adviserregistration: current employment
Oct 21, 2020 to presentfactForm ADV
→ F••••••• I••••••••• M••••••••• C•Registered adviserregistration: previous registration
Jul 13, 2020 to Nov 16, 2020factForm ADV
→ U••• I••••••••• S••••••• C••••••Registered adviserregistration: previous registration
Jan 8, 2018 to Jun 22, 2020factForm ADV
→ U••• F•••••••• P••••••• S•••••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:778705c9-5842-a388-c24d-a70ed4fbb82c
First observed: Sep 28, 2000
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.