DFX Intelligence

M••••••• H•••••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM none

M••••••• H•••••••• L••

CRD 330900

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Search this name across graphsid dfx:ria:69df18b1-0718-da42-d071-f1bb9354554e

Data as of Apr 2, 2024 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 1:34 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 1
On other graphs: 0
Observed: Mar 27, 2024 to Apr 2, 2024
2 observations

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

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Private client RAUM: $0derived••• Locked
Advisors on IAPD: 0
Employees: 2
Advisory employees: 1
Offices: 0Schedule D 1.F, beyond the principal office
SEC number: 801-130039
CRD: 330900

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C•••••• J•••••••• C••••••••	CHIEF EXECUTIVE OFFICER	D	yes	03/2024	Mar 27, 2024	Apr 2, 2024
C•••••• T•••••• W••••	CHIEF COMPLIANCE OFFICER AND CHIEF OPERATING OFFICER	D	yes	03/2024	Mar 27, 2024	Apr 2, 2024

Relationships

Controls (2)

← C•••••• T•••••• W••••OwnerCHIEF COMPLIANCE OFFICER AND CHIEF OPERATING OFFICER, ownership code D, individual
Mar 27, 2024 to presentfactForm ADV
← C•••••• J•••••••• C••••••••OwnerCHIEF EXECUTIVE OFFICER, ownership code D, individual
Mar 27, 2024 to presentfactForm ADV

Dated events

Occurred
Mar 27, 2024
First Form ADV filing
M••••••• H•••••••• L•• filed its initial SEC registration (Form ADV)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:69df18b1-0718-da42-d071-f1bb9354554e
First observed: Mar 27, 2024
Last observed: Apr 2, 2024 30 months ago
Source families: Federal regulator filings
3 registered feeds 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.