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

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RIA / WealthAdvisordual registered (broker-dealer)31 years in industry

K•••• M•••••• M•••••••

Advisor at H••• S••••••••• •••• I•••

NEW YORK, NY | Brightwaters, NY

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Search this name across graphsid dfx:ria:48080fd9-a237-d154-ba4a-f3b031b942de

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 11:00 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Dec 11, 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: H••• S••••••••• •••• I•••
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: Apr 13, 1995earliest registration or exam on IAPD
Years in industry: 31derivedfrom 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
H••• S••••••••• •••• I•••	Bd affiliated wealth	Nov 13, 2023	n/a	yes	Brightwaters, NY\|NEW YORK, NY	Current employment
B••• O• A•••••• I••••••••• S•••••••• I•••	n/a	Oct 20, 2004	May 3, 2005	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
B••• O• A•••••• I••••••••• S•••••••• I•••	H••• S••••••••• •••• I•••	May 3, 2005	Nov 13, 2023	6,768	Firm change after gap	Other
Q•••• • R•••••• I•••	B••• O• A•••••• I••••••••• S•••••••• I•••	Oct 20, 2004

Relationships

Registered with (3)

→ H••• S••••••••• •••• I•••Registered adviserregistration: current employment
Nov 13, 2023 to presentfactForm ADV
→ B••• O• A•••••• I••••••••• S•••••••• I•••Registered adviserregistration: previous registration
Oct 20, 2004 to May 3, 2005factForm ADV
→ Q•••• • R•••••• I•••Registered adviserregistration: previous registration
Dec 11, 2002 to Oct 20, 2004factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:48080fd9-a237-d154-ba4a-f3b031b942de
First observed: Dec 11, 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.