DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Planner|Chartered Financial Analystdual registered (broker-dealer)31 years in industry

S•••••• A•••• B••••

Advisor at H•••••••• A•••••••• L••

Aurora, IL | CHICAGO, IL

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Search this name across graphsid dfx:ria:e6a92285-42a2-cb0c-9c4f-07c9a8258e5a

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 2:54 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Nov 4, 2009 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•••••••• A•••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Nov 9, 1994earliest registration or exam on IAPD
Years in industry: 31derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
H•••••••• A•••••••• L••	Bd affiliated wealth	Jan 4, 2022	n/a	yes	Aurora, IL\|CHICAGO, IL	Current employment
C•••• P••••••••• A•••••••• L••	Former SEC adviser	Jan 3, 2017	Dec 31, 2016	no	AURORA, IL	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
L•• F•••••••• L••	R•••• S••••• A•••••••• L••	Jul 20, 2011	Jun 8, 2010	-407	Firm change after gap	Other
R•••• S••••• A•••••••• L••	C•••• P••••••••• A•••••••• L••	Jul 18, 2011	Jul 19, 2011

Team moves

••• Locked

Team	Left	Joined	From	Kind
157447:145323:IL:2016-12-31	Dec 31, 2016	Jan 4, 2022	AURORA, IL	Firm change after gap

Relationships

Registered with (4)

→ H•••••••• A•••••••• L••Registered adviserregistration: current employment
Jan 4, 2022 to presentfactForm ADV
→ C•••• P••••••••• A•••••••• L••Registered adviserregistration: previous registration
Jul 19, 2011 to Feb 15, 2022factForm ADV
→ L•• F•••••••• L••Registered adviserregistration: previous registration
Nov 4, 2009 to Jul 20, 2011factForm ADV
→ R•••• S••••• A•••••••• L••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:e6a92285-42a2-cb0c-9c4f-07c9a8258e5a
First observed: Nov 4, 2009
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.