DFX Intelligence

H•••••• L••• K••••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)28 years in industry

H•••••• L••• K••••••••

Advisor at T•••••• C••••••• I•••

••• Locked

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Search this name across graphsid dfx:ria:82629373-bf76-45c7-fefe-855e921e28ee

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:48 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Apr 1, 2003 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: T•••••• C••••••• I•••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Dec 5, 1997earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 10derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
L•• F•••••••• L••	Bd affiliated wealth	Jun 30, 2022	n/a	yes	DENVER, CO	Current employment
T•••••• C••••••• I•••	Independent wealth	Nov 23, 2015	n/a	yes	Denver, CO\|IRVINE, CA	Current employment

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••	T•••••• C••••••• I•••	Nov 29, 2017	Nov 23, 2015	-737	Firm change after gap	Other

Team moves

••• Locked

Team	Left	Joined	From	Kind
29604:281597:CA:2017-11-29	Nov 29, 2017	Nov 23, 2015	LOS ANGELES, CA	Firm change after gap

Relationships

Registered with (3)

→ L•• F•••••••• L••Registered adviserregistration: current employment
Jun 30, 2022 to presentfactForm ADV
→ T•••••• C••••••• I•••Registered adviserregistration: current employment
Nov 23, 2015 to presentfactForm ADV
→ N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••Registered adviserregistration: previous registration
Apr 1, 2003 to Nov 29, 2017factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:82629373-bf76-45c7-fefe-855e921e28ee
First observed: Apr 1, 2003
Last observed: Sep 14, 2026 9 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.