DFX Intelligence

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

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RIA / WealthAdvisor21 years in industry

K••••••• S••• A• M••• C•••••••

Advisor at H••••• I••••••••• M••••••••• L••

Seattle, WA | CINCINNATI, OH

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Search this name across graphsid dfx:ria:e3b09747-bf69-6dbd-4441-7e919d950458

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 6:08 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Oct 10, 2007 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••••••••• M••••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Nov 9, 2004earliest registration or exam on IAPD
Years in industry: 21derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
H••••• I••••••••• M••••••••• L••	Independent wealth	Oct 18, 2023	n/a	yes	Seattle, WA\|CINCINNATI, OH	Current employment
U••• B•••••• A•••••••• L••	Bd affiliated wealth	May 5, 2009	Aug 9, 2023	no	SACRAMENTO, CA\|ELK GROVE, CA\|MANTECA, CA\|TRACY, CA\|TRACY, CA\|LIVERMORE, CA\|DAVIS, CA\|LODI, CA\|GALT, CA\|CITRUS HEIGHTS, CA\|SACRAMENTO, CA\|SONOMA, CA\|SAN RAFAEL, CA\|SACRAMENTO, CA\|WALNUT CREEK, CA\|SONOMA, CA\|REDDING, CA\|PLACERVILLE, CA\|AUBURN, CA\|DAVIS, CA\|Roseville, CA\|SEATTLE, WA\|SEATTLE, WA\|SEATTLE, WA\|TACOMA, WA\|KIRKLAND, WA\|BELLEVUE, WA\|BAINBRIDGE ISLAND, WA\|SEATTLE, WA\|BELLEVUE, WA\|REDMOND, WA\|SEATTLE, WA\|Seattle, WA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
U••• B•••••• A•••••••• L••	H••••• I••••••••• M••••••••• L••	Aug 9, 2023	Oct 18, 2023	70	Firm change	Ibd to RIA
B••• O• A•••••• I••••••••• S•••••••• I•••	U••• B•••••• A•••••••• L••	Mar 26, 2009	May 5, 2009

Relationships

Registered with (3)

→ H••••• I••••••••• M••••••••• L••Registered adviserregistration: current employment
Oct 18, 2023 to presentfactForm ADV
→ U••• B•••••• A•••••••• L••Registered adviserregistration: previous registration
May 5, 2009 to Aug 9, 2023factForm ADV
→ B••• O• A•••••• I••••••••• S•••••••• I•••Registered adviserregistration: previous registration
Oct 10, 2007 to Mar 26, 2009factForm ADV

Dated events

Occurred
Aug 9, 2023
Advisor changed firm
K••••••• S••• A• M••• C••••••• left U••• B•••••• A•••••••• L•• for H••••• I••••••••• M••••••••• L•• (registered 2023-10-18)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:e3b09747-bf69-6dbd-4441-7e919d950458
First observed: Oct 10, 2007
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.