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

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RIA / WealthAdvisorCertified Financial Planner11 years in industry

C••• E• E••••••

Advisor at H•••••••• A•••••••• L••

CHICAGO, IL | De Pere, WI

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:8d54c98f-37a2-e67c-e0a1-48385e9c6aaf

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 12:16 AM UTC and rebuilt at most every 15 minutes.

Relationships: 10
Dated events: 2
On other graphs: 0
Observed: Jan 20, 2017 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 publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jul 1, 2015earliest registration or exam on IAPD
Years in industry: 11derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
H•••••••• A•••••••• L••	Bd affiliated wealth	Jan 2, 2025	n/a	yes	De Pere, WI\|CHICAGO, IL	Current employment
F•••••••• P••••••• A•• I••••••••• S•••••••• I•••	Former SEC adviser	Jun 30, 2023	Feb 4, 2025	no

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
F•••••••• P••••••• A•• I••••••••• S•••••••• I•••	H•••••••• A•••••••• L••	Feb 4, 2025	Jan 2, 2025	-33	Firm change after gap	RIA to ibd
C•••••• S••••• • C••• I•••	F•••••••• P••••••• A•• I••••••••• S•••••••• I•••	Jul 3, 2023

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
113110:145323:WI:2025-02-04	Feb 4, 2025	Jan 2, 2025	DE PERE, WI	Firm change after gap

Relationships

Registered with (7)

→ H•••••••• A•••••••• L••Registered adviserregistration: current employment
Jan 2, 2025 to presentfactForm ADV
→ F•••••••• P••••••• A•• I••••••••• S•••••••• I•••Registered adviserregistration: previous registration
Jun 30, 2023 to Feb 4, 2025factForm ADV
→ T• A••••••••• I••••••••• M••••••••• L••Registered adviserregistration: previous registration
Jul 27, 2021 to Jul 3, 2023factForm ADV
→ C•••••• S••••• • C••• I•••

Dated events

Occurred
Feb 4, 2025
Advisor changed firm
C••• E• E•••••• left F•••••••• P••••••• A•• I••••••••• S•••••••• I••• for H•••••••• A•••••••• L•• (registered 2025-01-02)
Form ADVobserved 6 days ago
Occurred
Jul 3, 2023
Advisor changed firm
C••• E• E•••••• left C•••••• S••••• • C••• I••• for F•••••••• P••••••• A•• I••••••••• S•••••••• I••• (registered 2023-06-30)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:8d54c98f-37a2-e67c-e0a1-48385e9c6aaf
First observed: Jan 20, 2017
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.