DFX Intelligence

L••••• R•••••• K•••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)19 years in industry

L••••• R•••••• K•••••••

Advisor at F••••••• H••••• A•••••••• L••

BOSTON, MA | Maryville, TN

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Search this name across graphsid dfx:ria:9941de32-4d13-4eea-98ad-c9bf7b6532d7

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 11:11 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Jun 20, 2007 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: F••••••• H••••• A•••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Apr 25, 2007earliest registration or exam on IAPD
Years in industry: 19derivedfrom the industry start date
Years at current firm: 10derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
F••••••• H••••• A•••••••• L••	Independent wealth	Dec 21, 2015	n/a	yes	Maryville, TN\|BOSTON, MA	Current employment
J••••• H•••••••• W••• L••••• L••	Former SEC adviser	Feb 26, 2009	Sep 7, 2011	no	KNOXVILLE, TN

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
J••••• H•••••••• W••• L••••• L••	F••••••• H••••• A•••••••• L••	Sep 7, 2011	Dec 21, 2015	1,566	Firm change after gap	Other
E••••• J••••	J••••• H•••••••• W••• L••••• L••	Jan 31, 2009	Feb 26, 2009

Relationships

Registered with (3)

→ F••••••• H••••• A•••••••• L••Registered adviserregistration: current employment
Dec 21, 2015 to presentfactForm ADV
→ J••••• H•••••••• W••• L••••• L••Registered adviserregistration: previous registration
Feb 26, 2009 to Sep 7, 2011factForm ADV
→ E••••• J••••Registered adviserregistration: previous registration
Jun 20, 2007 to Jan 31, 2009factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:9941de32-4d13-4eea-98ad-c9bf7b6532d7
First observed: Jun 20, 2007
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.