DFX Intelligence

Data Factory

H••••• L•••• M•••••••: 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 / WealthAdvisordual registered (broker-dealer)39 years in industry

H••••• L•••• M•••••••

Advisor at R•••••• J•••• • A••••••••• I•••

BIRMINGHAM, MI

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:55389fe4-000e-ebf5-07f0-ad48c0afbf04

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:44 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 1
On other graphs: 0
Observed: Jan 5, 2011 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: R•••••• J•••• • A••••••••• I•••
Current firm class: national broker-dealer RIAderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jan 27, 1987earliest registration or exam on IAPD
Years in industry: 39derivedfrom the industry start date
Years at current firm: 0derivedfrom 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
R•••••• J•••• • A••••••••• I•••	National bd RIA	Aug 13, 2026	n/a	yes	BIRMINGHAM, MI	Current employment
S•••••• N••••••• • C••••••• I•••••••••	National bd RIA	Dec 3, 2021	Aug 19, 2026	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
S•••••• N••••••• • C••••••• I•••••••••	R•••••• J•••• • A••••••••• I•••	Aug 19, 2026	Aug 13, 2026	-6	Firm change	Ibd to ibd
R•• C•••••• M••••••• L••	S•••••• N••••••• • C••••••• I•••••••••	Sep 23, 2021

Team moves

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

Team	Left	Joined	From	Kind
39550:106743:RI:2020-07-15	Jul 15, 2020	Aug 15, 2019	JOHNSTON, RI	Firm change after gap

Relationships

Registered with (7)

→ R•••••• J•••• • A••••••••• I•••Registered adviserregistration: current employment
Aug 13, 2026 to presentfactForm ADV
→ S•••••• N••••••• • C••••••• I•••••••••Registered adviserregistration: previous registration
Dec 3, 2021 to Aug 19, 2026factForm ADV
→ R•• C•••••• M••••••• L••Registered adviserregistration: previous registration
Aug 20, 2020 to Sep 23, 2021factForm ADV
→ C••••••• P•••••• W•••••

Dated events

Occurred
Aug 19, 2026
Advisor changed firm
H••••• L•••• M••••••• left S•••••• N••••••• • C••••••• I••••••••• for R•••••• J•••• • A••••••••• I••• (registered 2026-08-13)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:55389fe4-000e-ebf5-07f0-ad48c0afbf04
First observed: Jan 5, 2011
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.