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

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RIA / WealthAdvisordual registered (broker-dealer)13 years in industry

H••••• S••••• M•••••••

Advisor at S•••• W••••• M••••••••• L••

Silver City, MS | MCLEAN, VA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:02d010a9-6561-d30a-b99c-332a0f902816

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:10 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: May 22, 2013 to Sep 15, 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: S•••• W••••• M••••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: May 21, 2013earliest registration or exam on IAPD
Years in industry: 13derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
S•••• W••••• M••••••••• L••	Bd affiliated wealth	Apr 24, 2024	n/a	yes	Silver City, MS\|MCLEAN, VA	Current employment
P••••••••• C•••••• A•••••••	Independent wealth	Dec 6, 2021	Apr 17, 2024	no

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
P••••••••• C•••••• A•••••••	S•••• W••••• M••••••••• L••	Apr 17, 2024	Apr 24, 2024	7	Firm change	RIA to ibd
N•••••• A•••••••	P••••••••• C•••••• A•••••••	Oct 11, 2021

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
6413:8032:LA:2015-06-05	Jun 5, 2015	May 29, 2015	METAIRIE, LA	Firm change

Relationships

Registered with (6)

→ S•••• W••••• M••••••••• L••Registered adviserregistration: current employment
Apr 24, 2024 to presentfactForm ADV
→ P••••••••• C•••••• A•••••••Registered adviserregistration: previous registration
Dec 6, 2021 to Apr 17, 2024factForm ADV
→ N•••••• A•••••••Registered adviserregistration: previous registration
Apr 5, 2019 to Oct 11, 2021factForm ADV
→ C••••••••• F•••••••• N••••••

Dated events

Occurred
Apr 17, 2024
Advisor changed firm
H••••• S••••• M••••••• left P••••••••• C•••••• A••••••• for S•••• W••••• M••••••••• L•• (registered 2024-04-24)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:02d010a9-6561-d30a-b99c-332a0f902816
First observed: May 22, 2013
Last observed: Sep 15, 2026 7 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.