DFX Intelligence

C••••• E••••• B••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)24 years in industry

C••••• E••••• B••••••

Advisor at H•••••• I••••••••• L••

CHARLOTTE, NC | GUILFORD, CT

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Search this name across graphsid dfx:ria:8b7f7f7a-ff9f-f1da-9886-893e30eb4f58

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 2:58 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Jun 5, 2012 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•••••• I••••••••• L••
Current firm class: asset managerderived
Book size: not public••• Locked
Industry start: Feb 26, 2002earliest registration or exam on IAPD
Years in industry: 24derivedfrom the industry start date
Years at current firm: 9derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
H•••••• I••••••••• L••	Asset manager	Jan 30, 2017	n/a	yes	GUILFORD, CT\|CHARLOTTE, NC	Current employment
F•••• T•••• A••••••• L•	Asset manager	Jun 5, 2012	Dec 3, 2014	no	WHEATON, IL	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
F•••• T•••• A••••••• L•	H•••••• I••••••••• L••	Dec 3, 2014	Jan 30, 2017	789	Firm change after gap	Other

Relationships

Registered with (2)

→ H•••••• I••••••••• L••Registered adviserregistration: current employment
Jan 30, 2017 to presentfactForm ADV
→ F•••• T•••• A••••••• L•Registered adviserregistration: previous registration
Jun 5, 2012 to Dec 3, 2014factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:8b7f7f7a-ff9f-f1da-9886-893e30eb4f58
First observed: Jun 5, 2012
Last observed: Sep 14, 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.