DFX Intelligence

K•••••• W•••••• B•••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Planner26 years in industry

K•••••• W•••••• B•••••••

Advisor at H•••••••• A•••••••• L••

Marlton, NJ | CHICAGO, IL

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:9935b3b4-b73a-9561-f2f8-3312fbaf6d36

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 3:24 PM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 1
On other graphs: 0
Observed: Apr 19, 2004 to Sep 15, 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: Feb 14, 2000earliest registration or exam on IAPD
Years in industry: 26derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 7

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
H•••••••• A•••••••• L••	Bd affiliated wealth	Sep 6, 2023	n/a	yes	Marlton, NJ\|CHICAGO, IL	Current employment
M•••• C•••••• G••••	Former SEC adviser	Apr 11, 2019	Sep 28, 2023	no	MARLTON, NJ	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M•••• C•••••• G••••	H•••••••• A•••••••• L••	Sep 28, 2023	Sep 6, 2023	-22	Firm change	RIA to ibd
B•••••••• I••••••••• M••••••••• L••	M•••• C•••••• G••••	Mar 26, 2019	Apr 11, 2019

Team moves

••• Locked

Team	Left	Joined	From	Kind
105897:145323:NJ:2023-09-28	Sep 28, 2023	Sep 6, 2023	MARLTON, NJ	Firm change

Relationships

Registered with (6)

→ H•••••••• A•••••••• L••Registered adviserregistration: current employment
Sep 6, 2023 to presentfactForm ADV
→ M•••• C•••••• G••••Registered adviserregistration: previous registration
Apr 11, 2019 to Sep 28, 2023factForm ADV
→ B•••••••• I••••••••• M••••••••• L••Registered adviserregistration: previous registration
Aug 6, 2010 to Mar 26, 2019factForm ADV
→ T• W••••• M••••••••• S••••••• I•••

Dated events

Occurred
Sep 28, 2023
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:9935b3b4-b73a-9561-f2f8-3312fbaf6d36
First observed: Apr 19, 2004
Last observed: Sep 15, 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.