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

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RIA / WealthAdvisordual registered (broker-dealer)30 years in industry

A• L••••• H•••••••

Advisor at H•••••• W••••• M••••••••• L••

Louisville, KY | NEW ALBANY, IN

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Search this name across graphsid dfx:ria:8ed2d319-119c-8ab1-a61d-f0891c5d18cc

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 12:23 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Nov 24, 1995 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•••••• W••••• M••••••••• L••
Current firm class: state registeredderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Oct 3, 1995earliest registration or exam on IAPD
Years in industry: 30derivedfrom the industry start date
Years at current firm: 10derivedfrom 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
S•••••• W••••• P•••••••• L••	Bd affiliated wealth	Jun 25, 2025	n/a	yes	Louisville, KY	Current employment
H•••••• W••••• M••••••••• L••	State registered	Mar 24, 2016	n/a	yes	NEW ALBANY, IN\|Louisville, KY

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
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	H•••••• W••••• M••••••••• L••	Jan 28, 2010	Mar 24, 2016	2,247	Firm change after gap	Wirehouse to state RIA

Relationships

Registered with (3)

→ S•••••• W••••• P•••••••• L••Registered adviserregistration: current employment
Jun 25, 2025 to presentfactForm ADV
→ H•••••• W••••• M••••••••• L••Registered adviserregistration: current employment
Mar 24, 2016 to presentfactForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Registered adviserregistration: previous registration
Nov 24, 1995 to Jan 28, 2010factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:8ed2d319-119c-8ab1-a61d-f0891c5d18cc
First observed: Nov 24, 1995
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.