DFX Intelligence

K•••• E••••• P•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)16 years in industry

K•••• E••••• P•••••

Advisor at H•••• W•••••• L••

CINCINNATI, OH

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Search this name across graphsid dfx:ria:d13bdc43-4116-267a-5791-dbf33d4cc00f

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 5:38 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Aug 19, 2011 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•••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Aug 1, 2010earliest registration or exam on IAPD
Years in industry: 16derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
H•••• W•••••• L••	Independent wealth	Jul 8, 2025	n/a	yes	CINCINNATI, OH	Current employment
H•••• W••••• M•••••••••	Former SEC adviser	Feb 8, 2022	Jul 7, 2025	no	CINCINNATI, OH\|CINCINNATI, OH	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
H•••• W••••• M•••••••••	H•••• W•••••• L••	Jul 7, 2025	Jul 8, 2025	1	Channel change	RIA to new firm
U•• F•••••••• S••••••• I•••	H•••• W••••• M•••••••••	Jan 28, 2022	Feb 8, 2022

Team moves

••• Locked

Team	Left	Joined	From	Kind
40794:333974:OH:2025-07-07	Jul 7, 2025	Jul 8, 2025	CINCINNATI, OH	Firm change

Relationships

Registered with (4)

→ H•••• W•••••• L••Registered adviserregistration: current employment
Jul 8, 2025 to presentfactForm ADV
→ H•••• W••••• M•••••••••Registered adviserregistration: previous registration
Feb 8, 2022 to Jul 7, 2025factForm ADV
→ U•• F•••••••• S••••••• I•••Registered adviserregistration: previous registration
Apr 16, 2018 to Jan 28, 2022factForm ADV
→ S•••••••• A••••••• L••

Dated events

Occurred
Jan 28, 2022
Advisor changed firm
K•••• E••••• P••••• left U•• F•••••••• S••••••• I••• for H•••• W••••• M••••••••• (registered 2022-02-08)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:d13bdc43-4116-267a-5791-dbf33d4cc00f
First observed: Aug 19, 2011
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.