DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)21 years in industry

C••••••••• J••• S•••••••

Advisor at H••• I••••••••• S•••••••• L••

MANHASSET, NY | ALISO VIEJO, CA

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Search this name across graphsid dfx:ria:e1f9b207-405a-1967-76a7-06c472226fb5

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:26 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Sep 21, 2005 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••• I••••••••• S•••••••• L••
Current firm class: other adviserderived
Book size: not public••• Locked
Industry start: Jun 1, 2005earliest registration or exam on IAPD
Years in industry: 21derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
H••• I••••••••• S•••••••• L••	Other adviser	Aug 11, 2023	n/a	yes	MANHASSET, NY\|ALISO VIEJO, CA	Current employment
R••••••••• W••••• L••	Independent wealth	Nov 17, 2021	Aug 9, 2023	no	CHICAGO, IL\|OAKBROOK, IL

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
R••••••••• W••••• L••	H••• I••••••••• S•••••••• L••	Aug 9, 2023	Aug 11, 2023	2	Firm change	RIA to new firm
L•••• A••••• • C•• L••	R••••••••• W••••• L••	Jul 19, 2017	Nov 17, 2021

Team moves

••• Locked

Team	Left	Joined	From	Kind
162442:325613:IL:2023-08-09	Aug 9, 2023	Aug 11, 2023	OAKBROOK, IL	Firm change

Relationships

Registered with (3)

→ H••• I••••••••• S•••••••• L••Registered adviserregistration: current employment
Aug 11, 2023 to presentfactForm ADV
→ R••••••••• W••••• L••Registered adviserregistration: previous registration
Nov 17, 2021 to Aug 9, 2023factForm ADV
→ L•••• A••••• • C•• L••Registered adviserregistration: previous registration
Sep 21, 2005 to Jul 19, 2017factForm ADV

Dated events

Occurred
Aug 9, 2023
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:e1f9b207-405a-1967-76a7-06c472226fb5
First observed: Sep 21, 2005
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.