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

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RIA / WealthAdvisor14 years in industry

H•••• E••••• M••••••

Advisor at W•••••• A•••••••• L••

Seattle, WA | BIRMINGHAM, AL

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:d57cf059-099b-9693-716c-fa7e32bce767

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 12:40 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Mar 20, 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: W•••••• A•••••••• L••
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Nov 1, 2011earliest registration or exam on IAPD
Years in industry: 14derivedfrom the industry start date
Years at current firm: 0derivedfrom 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
W•••••• A•••••••• L••	Independent wealth	Oct 23, 2025	n/a	yes	Seattle, WA\|BIRMINGHAM, AL	Current employment
P•••••• P•••••••• C••••••••• L••	Former SEC adviser	Feb 2, 2018	Dec 23, 2025	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
P•••••• P•••••••• C••••••••• L••	W•••••• A•••••••• L••	Dec 23, 2025	Oct 23, 2025	-61	Firm change after gap	RIA to RIA
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	P•••••• P•••••••• C••••••••• L••	Jan 2, 2018

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
139505:115332:WA:2025-12-23	Dec 23, 2025	Oct 23, 2025	SEATTLE, WA	Firm change after gap
149777:7691:WA:2016-10-21	Oct 21, 2016	Oct 7, 2016	BELLEVUE, WA	Firm change

Relationships

Registered with (4)

→ W•••••• A•••••••• L••Registered adviserregistration: current employment
Oct 23, 2025 to presentfactForm ADV
→ P•••••• P•••••••• C••••••••• L••Registered adviserregistration: previous registration
Feb 2, 2018 to Dec 23, 2025factForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Registered adviserregistration: previous registration
Oct 7, 2016 to Jan 2, 2018factForm ADV
→ M••••• S••••••

Dated events

Occurred
Dec 23, 2025
Advisor changed firm
H•••• E••••• M•••••• left P•••••• P•••••••• C••••••••• L•• for W•••••• A•••••••• L•• (registered 2025-10-23)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:d57cf059-099b-9693-716c-fa7e32bce767
First observed: Mar 20, 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.