DFX Intelligence

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

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthAdvisor15 years in industry

S••• M•••••• H••••••••

Advisor at H•••••••• W••••• A•• E••••• M•••••••••

ALGONQUIN, 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:cb8a9716-8a9c-47cd-67da-a4f701c33e12

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 6:48 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Nov 16, 2012 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•••••••• W••••• A•• E••••• M•••••••••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Dec 1, 2010earliest registration or exam on IAPD
Years in industry: 15derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
H•••••••• W••••• A•• E••••• M•••••••••	Independent wealth	Jul 12, 2019	n/a	yes	ALGONQUIN, IL	Current employment
H••• I••••••••• P••••••• L••	Former SEC adviser	Jan 21, 2021	Mar 23, 2023	no	WEST DUNDEE, IL

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
H••• I••••••••• P••••••• L••	n/a	Mar 23, 2023	n/a	n/a	Departure no registered destination	Departure
I•••••••• C•••••• A•••••••	H•••••••• W••••• A•• E••••• M•••••••••	Jan 2, 2015	Jul 12, 2019	1,652

Relationships

Registered with (3)

→ H•••••••• W••••• A•• E••••• M•••••••••Registered adviserregistration: current employment
Jul 12, 2019 to presentfactForm ADV
→ H••• I••••••••• P••••••• L••Registered adviserregistration: previous registration
Jan 21, 2021 to Mar 23, 2023factForm ADV
→ I•••••••• C•••••• A•••••••Registered adviserregistration: previous registration
Nov 16, 2012 to Jan 2, 2015factForm ADV

Dated events

Occurred
Mar 23, 2023
Advisor departed, no destination yet
S••• M•••••• H•••••••• no longer registered at H••• I••••••••• P••••••• L••; no later IA registration on IAPD
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:cb8a9716-8a9c-47cd-67da-a4f701c33e12
First observed: Nov 16, 2012
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.