DFX Intelligence

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

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RIA / WealthAdvisor16 years in industry

R•••• K••••• Y••••

Advisor at H•••••••• A•••••••• L••

Dallas, TX | CHICAGO, IL

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Search this name across graphsid dfx:ria:8259d396-3db8-81b2-c16d-8cc14e2843a3

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 9:21 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Mar 30, 2012 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: Jul 9, 2010earliest registration or exam on IAPD
Years in industry: 16derivedfrom 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	Sep 29, 2020	n/a	yes	Dallas, TX\|CHICAGO, IL	Current employment
F••••••• I••••••••• M••••••••• C•	Former SEC adviser	Apr 18, 2018	Nov 16, 2020	no	San Ramon, CA\|DALLAS, TX

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
F••••••• I••••••••• M••••••••• C•	H•••••••• A•••••••• L••	Nov 16, 2020	Sep 29, 2020	-48	Bulk transfer	RIA to ibd
A••••• A•• P••••••• S•••••••	F••••••• I••••••••• M••••••••• C•	Mar 22, 2018	Apr 18, 2018

Relationships

Registered with (5)

→ H•••••••• A•••••••• L••Registered adviserregistration: current employment
Sep 29, 2020 to presentfactForm ADV
→ F••••••• I••••••••• M••••••••• C•Registered adviserregistration: previous registration
Apr 18, 2018 to Nov 16, 2020factForm ADV
→ A••••• A•• P••••••• S•••••••Registered adviserregistration: previous registration
Sep 23, 2015 to Mar 22, 2018factForm ADV
→ J••• M••••• S••••••••• L••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:8259d396-3db8-81b2-c16d-8cc14e2843a3
First observed: Mar 30, 2012
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.