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C••••• S•• G••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)32 years in industry

C••••• S•• G••••••

Advisor at H•••• W•••••• L••

CINCINNATI, OH

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Search this name across graphsid dfx:ria:e138d361-c46d-940a-b6ed-885a2739fea9

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:52 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Jun 23, 2003 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 publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jan 14, 1994earliest registration or exam on IAPD
Years in industry: 32derivedfrom the industry start date
Years at current firm: 1derivedfrom 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
H•••• W•••••• L••	Independent wealth	Jul 9, 2025	n/a	yes	CINCINNATI, OH	Current employment
H•••• W••••• M•••••••••	Former SEC adviser	Jun 30, 2023	Mar 28, 2025	no	CINCINNATI, OH

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
H•••• W••••• M•••••••••	H•••• W•••••• L••	Mar 28, 2025	Jul 9, 2025	103	Channel change	RIA to new firm
A••••••• A••••••• S•••••••• L••	H•••• W••••• M•••••••••	Apr 26, 2023

Relationships

Registered with (5)

→ H•••• W•••••• L••Registered adviserregistration: current employment
Jul 9, 2025 to presentfactForm ADV
→ H•••• W••••• M•••••••••Registered adviserregistration: previous registration
Jun 30, 2023 to Mar 28, 2025factForm ADV
→ A••••••• A••••••• S•••••••• L••Registered adviserregistration: previous registration
Nov 1, 2021 to Apr 26, 2023factForm ADV
→ A••••••• A••••••• S•••••••

Dated events

Occurred
Apr 26, 2023
Advisor changed firm
C••••• S•• G•••••• left A••••••• A••••••• S•••••••• L•• for H•••• W••••• M••••••••• (registered 2023-06-30)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:e138d361-c46d-940a-b6ed-885a2739fea9
First observed: Jun 23, 2003
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.