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

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RIA / WealthAdvisordual registered (broker-dealer)24 years in industry

S•••• L••• H•••

Advisor at S•••••••• A•••••••• L••

SHORT HILLS, NJ

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Search this name across graphsid dfx:ria:09e446e0-4ad3-af88-c352-bc643004e5eb

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:59 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Jul 30, 2002 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: S•••••••• A•••••••• 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: Jul 30, 2002earliest registration or exam on IAPD
Years in industry: 24derivedfrom the industry start date
Years at current firm: 4derivedfrom 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•••••••• A•••••••• L••	Bd affiliated wealth	Jun 13, 2022	n/a	yes	SHORT HILLS, NJ	Current employment
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	Wirehouse	Jan 10, 2013	Jun 14, 2022	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
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	S•••••••• A•••••••• L••	Jun 14, 2022	Jun 13, 2022	-1	Firm change	Wirehouse to ibd
M••••• S••••••	M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	Feb 5, 2013

Team moves

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

Team	Left	Joined	From	Kind
7691:226606:NJ:2022-06-13	Jun 14, 2022	Jun 13, 2022	SUMMIT, NJ	Firm change

Relationships

Registered with (5)

→ S•••••••• A•••••••• L••Registered adviserregistration: current employment
Jun 13, 2022 to presentfactForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Registered adviserregistration: previous registration
Jan 10, 2013 to Jun 14, 2022factForm ADV
→ M••••• S••••••Registered adviserregistration: previous registration
Jun 1, 2009 to Feb 5, 2013factForm ADV
→ M••••• S•••••• • C•• L••

Dated events

Occurred
Jun 14, 2022
Advisor changed firm
S•••• L••• H••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for S•••••••• A•••••••• L•• (registered 2022-06-13)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:09e446e0-4ad3-af88-c352-bc643004e5eb
First observed: Jul 30, 2002
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.