DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)14 years in industry

O••••• B••••

Advisor at H•••••• T••••••• • K•••• L••

CHANDLER, AZ

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Search this name across graphsid dfx:ria:a9b2a786-24cc-ead7-5d44-4b7d4f3025c4

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 9:57 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 2
On other graphs: 0
Observed: Aug 18, 2022 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•••••• T••••••• • K•••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Jul 1, 2012earliest registration or exam on IAPD
Years in industry: 14derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
H•••••• T••••••• • K•••• L••	Independent wealth	May 17, 2023	n/a	yes	CHANDLER, AZ	Current employment
S•••••••• A••••••••• L••	Former SEC adviser	Dec 6, 2022	Apr 17, 2023	no	SACRAMENTO, CA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
S•••••••• A••••••••• L••	H•••••• T••••••• • K•••• L••	Apr 17, 2023	May 17, 2023	30	Firm change	RIA to ibd
C•••••••• I••••••••• R••••••• A•••••••• I•••	S•••••••• A••••••••• L••	Dec 6, 2022	Dec 6, 2022

Team moves

••• Locked

Team	Left	Joined	From	Kind
134139:316858:UT:2022-12-06	Dec 6, 2022	Dec 6, 2022	LOGAN, UT	Firm change

Relationships

Registered with (3)

→ H•••••• T••••••• • K•••• L••Registered adviserregistration: current employment
May 17, 2023 to presentfactForm ADV
→ S•••••••• A••••••••• L••Registered adviserregistration: previous registration
Dec 6, 2022 to Apr 17, 2023factForm ADV
→ C•••••••• I••••••••• R••••••• A•••••••• I•••Registered adviserregistration: previous registration
Aug 18, 2022 to Dec 6, 2022factForm ADV

Dated events

Occurred
Apr 17, 2023
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago
Occurred
Dec 6, 2022
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:a9b2a786-24cc-ead7-5d44-4b7d4f3025c4
First observed: Aug 18, 2022
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.