K•• L•

Advisor at H••• S••••••••• •••• I•••

FLUSHING, NY

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:979f0b5c-ab11-3608-f76e-5418f51a7b02

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 2:32 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jul 7, 2008 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••• S••••••••• •••• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Nov 22, 2006earliest registration or exam on IAPD
Years in industry: 19derivedfrom the industry start date
Years at current firm: 12derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
H••• S••••••••• •••• I•••	Bd affiliated wealth	Sep 12, 2014	n/a	yes	FLUSHING, NY	Current employment
B••••••• I••••••••• S•••••••• I••• •••••	Former SEC adviser	Jun 12, 2013	Dec 13, 2013	no	SAN FRANCISCO, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
B••••••• I••••••••• S•••••••• I••• •••••	H••• S••••••••• •••• I•••	Dec 13, 2013	Sep 12, 2014	273	Firm change	Other
U••• F•••••••• P••••••• S•••••••	B••••••• I••••••••• S•••••••• I••• •••••	Jun 7, 2013	Jun 12, 2013

Relationships

Registered with (4)

→ H••• S••••••••• •••• I•••Registered adviserregistration: current employment
Sep 12, 2014 to presentfactForm ADV
→ B••••••• I••••••••• S•••••••• I••• •••••Registered adviserregistration: previous registration
Jun 12, 2013 to Dec 13, 2013factForm ADV
→ U••• F•••••••• P••••••• S•••••••Registered adviserregistration: previous registration
Aug 18, 2011 to Jun 7, 2013factForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:979f0b5c-ab11-3608-f76e-5418f51a7b02
First observed: Jul 7, 2008
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.