DFX Intelligence

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

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RIA / WealthAdvisor39 years in industry

G••• R•• C•••••••

Advisor at H•••••••• A•••••••• L••

CHICAGO, IL | Olympia , WA

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Search this name across graphsid dfx:ria:f384d8ed-8da8-240c-1535-10f1e34c4117

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:08 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 2
On other graphs: 0
Observed: Dec 5, 1996 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: May 27, 1987earliest registration or exam on IAPD
Years in industry: 39derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
H•••••••• A•••••••• L••	Bd affiliated wealth	Jul 10, 2026	n/a	yes	CHICAGO, IL\|Olympia , WA	Current employment
F•••••••• A•••••••• I••••••••• M•••••••••	Former SEC adviser	Jul 23, 2010	Mar 10, 2026	no	OLYMPIA, WA\|OLYMPIA, WA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
L•• F•••••••• L••	D••••••••• F•••••••• A•••••••	Jul 6, 2026	May 4, 1998	-10,290	Firm change after gap	Other
F•••••••• A•••••••• I••••••••• M•••••••••	H•••••••• A•••••••• L••	Mar 10, 2026	Jul 10, 2026

Relationships

Registered with (5)

→ H•••••••• A•••••••• L••Registered adviserregistration: current employment
Jul 10, 2026 to presentfactForm ADV
→ L•• F•••••••• L••Registered adviserregistration: previous registration
Dec 5, 1996 to Jul 6, 2026factForm ADV
→ F•••••••• A•••••••• I••••••••• M•••••••••Registered adviserregistration: previous registration
Jul 23, 2010 to Mar 10, 2026factForm ADV
→ F•••••••• A•••••••• A••••••• S•••••••

Dated events

Occurred
Jul 6, 2026
Advisor changed firm
G••• R•• C••••••• left L•• F•••••••• L•• for D••••••••• F•••••••• A••••••• (registered 1998-05-04)
Form ADVobserved 7 days ago
Occurred
Mar 10, 2026
Advisor changed firm
G••• R•• C••••••• left F•••••••• A•••••••• I••••••••• M••••••••• for H•••••••• A•••••••• L•• (registered 2026-07-10)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:f384d8ed-8da8-240c-1535-10f1e34c4117
First observed: Dec 5, 1996
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.