DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Planner|Chartered Financial Analyst36 years in industry

S•••• S••••••• W•••••

Advisor at H•••••••• A•••••••• L••

CHICAGO, IL | Arlington, VA

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Search this name across graphs

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 9:59 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Jun 9, 2000 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 public••• Locked
Industry start: Jan 19, 1990earliest registration or exam on IAPD
Years in industry: 36derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
H•••••••• A•••••••• L••	Bd affiliated wealth	Oct 29, 2021	n/a	yes	Arlington, VA\|CHICAGO, IL	Current employment
A••••••••• C••••••	Former SEC adviser	Nov 24, 2003	Dec 6, 2021	no	ARLINGTON, VA\|WASHINGTON, DC

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
A••••••••• C••••••	H•••••••• A•••••••• L••	Dec 6, 2021	Oct 29, 2021	-38	Firm change after gap	RIA to ibd
A••••••••• F•••••••• A••••••••• L•••	A••••••••• C••••••	Dec 31, 2003	Nov 24, 2003

Relationships

Registered with (3)

→ H•••••••• A•••••••• L••Registered adviserregistration: current employment
Oct 29, 2021 to presentfactForm ADV
→ A••••••••• C••••••Registered adviserregistration: previous registration
Nov 24, 2003 to Dec 6, 2021factForm ADV
→ A••••••••• F•••••••• A••••••••• L•••Registered adviserregistration: previous registration
Jun 9, 2000 to Dec 31, 2003factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Jun 9, 2000
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.