DFX Intelligence

A•••••••• M•••••• K•••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisor15 years in industry

A•••••••• M•••••• K•••••••

Advisor at H•••••••• A•••••••• L••

Houston, TX

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Search this name across graphsid dfx:ria:cc430d11-55c1-d619-6e3a-9f6e3350f4b0

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:37 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Sep 9, 2013 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: Jun 1, 2011earliest 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•••••••• A•••••••• L••	Bd affiliated wealth	Sep 3, 2019	n/a	yes	Houston, TX	Current employment
H•••••••• P•••••• C•••••	Former SEC adviser	Aug 11, 2017	Dec 31, 2018	no	HOUSTON, TX	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
H•••••••• P•••••• C•••••	H•••••••• A•••••••• L••	Dec 31, 2018	Sep 3, 2019	246	Firm change	RIA to ibd
S•••••• C•••••• A•••••••• L••	H•••••••• P•••••• C•••••	Oct 10, 2017	Aug 11, 2017

Team moves

••• Locked

Team	Left	Joined	From	Kind
288687:145323:TX:2018-12-31	Dec 31, 2018	Sep 3, 2019	HOUSTON, TX	Firm change
153914:288687:TX:2017-10-10	Oct 10, 2017	Aug 11, 2017	HOUSTON, TX	Firm change after gap

Relationships

Registered with (3)

→ H•••••••• A•••••••• L••Registered adviserregistration: current employment
Sep 3, 2019 to presentfactForm ADV
→ H•••••••• P•••••• C•••••Registered adviserregistration: previous registration
Aug 11, 2017 to Dec 31, 2018factForm ADV
→ S•••••• C•••••• A•••••••• L••Registered adviserregistration: previous registration
Sep 9, 2013 to Oct 10, 2017factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:cc430d11-55c1-d619-6e3a-9f6e3350f4b0
First observed: Sep 9, 2013
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.