DFX Intelligence

D•••• C••••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Planner|Chartered Financial Consultant20 years in industry

D•••• C••••••••

Advisor at H•••••••• A•••••••• L••

DALLAS, TX | CHICAGO, IL

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Search this name across graphsid dfx:ria:b8ebaf6d-f5a9-d1f2-b584-50ce9dc624d1

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:27 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Dec 6, 2005 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: Dec 1, 2005earliest registration or exam on IAPD
Years in industry: 20derivedfrom the industry start date
Years at current firm: 1derivedfrom 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	Jul 7, 2025	n/a	yes	CHICAGO, IL\|DALLAS, TX	Current employment
S•••• A••••• F••••••••• L••	Former SEC adviser	Feb 19, 2014	Jul 30, 2025	no	DALLAS, TX	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
S•••• A••••• F••••••••• L••	H•••••••• A•••••••• L••	Jul 30, 2025	Jul 7, 2025	-23	Firm change	RIA to ibd
W•••• F•••• I••••••••• L••	S•••• A••••• F••••••••• L••	Mar 27, 2007	Feb 19, 2014

Team moves

••• Locked

Team	Left	Joined	From	Kind
144386:145323:TX:2025-07-30	Jul 30, 2025	Jul 7, 2025	DALLAS, TX	Firm change

Relationships

Registered with (3)

→ H•••••••• A•••••••• L••Registered adviserregistration: current employment
Jul 7, 2025 to presentfactForm ADV
→ S•••• A••••• F••••••••• L••Registered adviserregistration: previous registration
Feb 19, 2014 to Jul 30, 2025factForm ADV
→ W•••• F•••• I••••••••• L••Registered adviserregistration: previous registration
Dec 6, 2005 to Mar 27, 2007factForm ADV

Dated events

Occurred
Jul 30, 2025
Advisor changed firm
D•••• C•••••••• left S•••• A••••• F••••••••• L•• for H•••••••• A•••••••• L•• (registered 2025-07-07)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b8ebaf6d-f5a9-d1f2-b584-50ce9dc624d1
First observed: Dec 6, 2005
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.