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L••••• A••• H•••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisor25 years in industry

L••••• A••• H•••

Advisor at S••••••••• W••••• M••••••••• L••

BARRINGTON, IL

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Search this name across graphsid dfx:ria:ce608166-e47c-372c-b8c5-32a4f1db723f

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 1:50 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Jun 20, 2001 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: S••••••••• W••••• M••••••••• L••
Current firm class: state registeredderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jun 20, 2001earliest registration or exam on IAPD
Years in industry: 25derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
S••••••••• W••••• M••••••••• L••	State registered	Feb 26, 2021	n/a	yes	BARRINGTON, IL	Current employment
J••• M••••• S••••••••• L••	Wirehouse	Sep 8, 2014	Jan 16, 2019	no

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
J••• M••••• S••••••••• L••	S••••••••• W••••• M••••••••• L••	Jan 16, 2019	Feb 26, 2021	772	Firm change after gap	Wirehouse to state RIA
N•• E•••••• S••••••••• C•••••••••	J••• M••••• S••••••••• L••	Oct 7, 2013

Relationships

Registered with (5)

→ S••••••••• W••••• M••••••••• L••Registered adviserregistration: current employment
Feb 26, 2021 to presentfactForm ADV
→ J••• M••••• S••••••••• L••Registered adviserregistration: previous registration
Sep 8, 2014 to Jan 16, 2019factForm ADV
→ N•• E•••••• S••••••••• C•••••••••Registered adviserregistration: previous registration
Mar 16, 2012 to Oct 7, 2013factForm ADV
→ A••••••• H••• F•••••••• S•••••••• L••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:ce608166-e47c-372c-b8c5-32a4f1db723f
First observed: Jun 20, 2001
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.