DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)19 years in industry

K••• F• L•••••••

Advisor at H••••••••• F•••••••• A•••••••

••• Locked

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Search this name across graphs

Data as of Sep 18, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 9:14 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Nov 21, 2006 to Sep 18, 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••••••••• F•••••••• A•••••••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Oct 20, 2006earliest registration or exam on IAPD
Years in industry: 19derivedfrom the industry start date
Years at current firm: 18derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
A••••••••• F•••••••• S•••••••• L••	National bd RIA	Jun 29, 2026	n/a	yes	Lakewood, OH\|Rocky River, OH	Current employment
H••••••••• F•••••••• A•••••••	Bd affiliated wealth	Feb 6, 2008	n/a	yes	ROCKY RIVER, OH	Current employment

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M••••• S•••••• • C•• L••	H••••••••• F•••••••• A•••••••	Nov 21, 2007	Feb 6, 2008	77	Firm change	Other
M••••• S•••••• D• I•••	M••••• S•••••• • C•• L••	Apr 2, 2007	Apr 2, 2007

Relationships

Registered with (4)

→ A••••••••• F•••••••• S•••••••• L••Registered adviserregistration: current employment
Jun 29, 2026 to presentfactForm ADV
→ H••••••••• F•••••••• A•••••••Registered adviserregistration: current employment
Feb 6, 2008 to presentfactForm ADV
→ M••••• S•••••• • C•• L••Registered adviserregistration: previous registration
Apr 2, 2007 to Nov 21, 2007factForm ADV
→ M••••• S•••••• D• I•••Registered adviserregistration: previous registration

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Nov 21, 2006
Last observed: Sep 18, 2026 5 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.