DFX Intelligence

A•••• D••••• W••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)18 years in industry

A•••• D••••• W••••••

Advisor at H•••••••• A•••••••• L••

CHICAGO, IL | Wichita, KS

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Search this name across graphsid dfx:ria:89f9394e-f02a-1dd0-9e53-7c39ad04f31b

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:49 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 2
On other graphs: 0
Observed: Oct 16, 2007 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: Oct 4, 2007earliest registration or exam on IAPD
Years in industry: 18derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
H•••••••• A•••••••• L••	Bd affiliated wealth	Oct 31, 2022	n/a	yes	Wichita, KS\|CHICAGO, IL	Current employment
H•••••••• 6• H••••••• L••	Former SEC adviser	Jan 3, 2022	Nov 4, 2022	no	WICHITA, KS	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
H•••••••• 6• H••••••• L••	H•••••••• A•••••••• L••	Nov 4, 2022	Oct 31, 2022	-4	Firm change	RIA to ibd
6• M••••••• L••	H•••••••• 6• H••••••• L••	Feb 25, 2022	Jan 3, 2022

Team moves

••• Locked

Team	Left	Joined	From	Kind
317694:145323:KS:2022-11-04	Nov 4, 2022	Oct 31, 2022	WICHITA, KS	Firm change
283845:317694:KS:2022-02-25	Feb 25, 2022	Jan 3, 2022	WICHITA, KS	Firm change after gap
149777:283845:KS:2016-09-19	Sep 19, 2016	Sep 9, 2016	WICHITA, KS	Firm change

Relationships

Registered with (6)

→ H•••••••• A•••••••• L••Registered adviserregistration: current employment
Oct 31, 2022 to presentfactForm ADV
→ H•••••••• 6• H••••••• L••Registered adviserregistration: previous registration
Jan 3, 2022 to Nov 4, 2022factForm ADV
→ 6• M••••••• L••Registered adviserregistration: previous registration
Sep 9, 2016 to Feb 25, 2022factForm ADV
→ M••••• S••••••

Dated events

Occurred
Nov 4, 2022
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Feb 25, 2022
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:89f9394e-f02a-1dd0-9e53-7c39ad04f31b
First observed: Oct 16, 2007
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.