DFX Intelligence

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

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthAdvisor27 years in industry

L•••• S•••••• H•••••

Advisor at W••••••••• A••••••• P••••••• L••

WEST CHESTER, PA | New York, NY

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 graphs

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:46 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Nov 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: W••••••••• A••••••• P••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Sep 20, 1999earliest registration or exam on IAPD
Years in industry: 27derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
W••••••••• A••••••• P••••••• L••	Bd affiliated wealth	Dec 18, 2024	n/a	yes	New York, NY\|WEST CHESTER, PA	Current employment
C•••••• F••••••••• L••	Former SEC adviser	Apr 27, 2021	Mar 31, 2025	no	NEW YORK, NY\|BROOKLYN, NY\|NEW YORK, NY\|BROOKLYN, NY\|New York, NY

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C•••••• F••••••••• L••	W••••••••• A••••••• P••••••• L••	Mar 31, 2025	Dec 18, 2024	-103	Firm change after gap	RIA to RIA
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	C•••••• F••••••••• L••	Jan 7, 2005	Apr 27, 2021

Team moves

••• Locked

Team	Left	Joined	From	Kind
139948:171976:NY:2025-03-31	Mar 31, 2025	Dec 18, 2024	NEW YORK, NY	Firm change after gap

Relationships

Registered with (3)

→ W••••••••• A••••••• P••••••• L••Registered adviserregistration: current employment
Dec 18, 2024 to presentfactForm ADV
→ C•••••• F••••••••• L••Registered adviserregistration: previous registration
Apr 27, 2021 to Mar 31, 2025factForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Registered adviserregistration: previous registration
Nov 11, 2002 to Jan 7, 2005factForm ADV

Dated events

Occurred
Mar 31, 2025
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Nov 11, 2002
Last observed: Sep 14, 2026 9 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.