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D•••• H•••• T•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorPersonal Financial Specialist24 years in industry

D•••• H•••• T•••••

Advisor at C••• L••

FRANKLIN LAKES, NJ

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:34ffdb46-54ae-f9d2-be56-8e01cb4a4714

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 11:04 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jul 2, 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: C••• 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: Jan 28, 2002earliest registration or exam on IAPD
Years in industry: 24derivedfrom the industry start date
Years at current firm: 11derivedfrom 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
C••• L••	Bd affiliated wealth	Jun 12, 2015	n/a	yes	FRANKLIN LAKES, NJ	Current employment
P•••••• A•••••• G••••• L••	Bd affiliated wealth	Jul 7, 2011	Jun 12, 2015	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•••••• A•••••• G••••• L••	C••• L••	Jun 12, 2015	Jun 12, 2015	0	Firm change	Other
L•• F•••••••• L••	P•••••• A•••••• G••••• L••	Mar 27, 2013

Team moves

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

Team	Left	Joined	From	Kind
155216:155344:NJ:2015-06-12	Jun 12, 2015	Jun 12, 2015	MORRISTOWN, NJ	Firm change

Relationships

Registered with (4)

→ C••• L••Registered adviserregistration: current employment
Jun 12, 2015 to presentfactForm ADV
→ P•••••• A•••••• G••••• L••Registered adviserregistration: previous registration
Jul 7, 2011 to Jun 12, 2015factForm ADV
→ L•• F•••••••• L••Registered adviserregistration: previous registration
Mar 1, 2007 to Mar 27, 2013factForm ADV
→ A•••••• A••••••• S•••••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:34ffdb46-54ae-f9d2-be56-8e01cb4a4714
First observed: Jul 2, 2002
Last observed: Sep 14, 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.