DFX Intelligence

A••••• R••• L••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)12 years in industry

A••••• R••• L••••••

Advisor at H•••••••• A•••••••• L••

New York City, NY | CHICAGO, IL

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Search this name across graphsid dfx:ria:f024eba7-f114-a219-70e4-6dd28801471a

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 4:37 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 1
On other graphs: 0
Observed: Sep 9, 2024 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: Jan 1, 2014earliest registration or exam on IAPD
Years in industry: 12derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
H•••••••• A•••••••• L••	Bd affiliated wealth	Jun 9, 2025	n/a	yes	New York City, NY\|CHICAGO, IL	Current employment
O•••• W•••••• I•••	Bd affiliated wealth	Sep 9, 2024	May 12, 2025	no	NEW YORK, NY	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
O•••• W•••••• I•••	H•••••••• A•••••••• L••	May 12, 2025	Jun 9, 2025	28	Firm change	Ibd to ibd

Relationships

Registered with (2)

→ H•••••••• A•••••••• L••Registered adviserregistration: current employment
Jun 9, 2025 to presentfactForm ADV
→ O•••• W•••••• I•••Registered adviserregistration: previous registration
Sep 9, 2024 to May 12, 2025factForm ADV

Dated events

Occurred
May 12, 2025
Advisor changed firm
A••••• R••• L•••••• left O•••• W•••••• I••• for H•••••••• A•••••••• L•• (registered 2025-06-09)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:f024eba7-f114-a219-70e4-6dd28801471a
First observed: Sep 9, 2024
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.