DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)26 years in industry

H••• A••• K••••••••

Advisor at N•••••••• B••••• B• L••

RYE, NY | NEW YORK, NY

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Search this name across graphsid dfx:ria:7e9f0928-8e28-b7e9-bea7-16dfa224457e

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:05 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Oct 2, 2000 to Sep 15, 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: N•••••••• B••••• B• L••
Current firm class: no raum reportedderived
Book size: not public••• Locked
Industry start: Jul 14, 2000earliest registration or exam on IAPD
Years in industry: 26derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
N•••••••• B••••• B• L••	No RAUM reported	Mar 25, 2021	n/a	yes	NEW YORK, NY\|RYE, NY	Current employment
C•••••• S••••• • C••• I•••	National bd RIA	Feb 22, 2005	Dec 13, 2005	no	SAN FRANCISCO, CA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C•••••• S••••• • C••• I•••	N•••••••• B••••• B• L••	Dec 13, 2005	Mar 25, 2021	5,581	Firm change after gap	Ibd to new firm
R•••••• C•••••• M••••••••• L••	C•••••• S••••• • C••• I•••	Jul 30, 2003	Feb 22, 2005

Relationships

Registered with (3)

→ N•••••••• B••••• B• L••Registered adviserregistration: current employment
Mar 25, 2021 to presentfactForm ADV
→ C•••••• S••••• • C••• I•••Registered adviserregistration: previous registration
Feb 22, 2005 to Dec 13, 2005factForm ADV
→ R•••••• C•••••• M••••••••• L••Registered adviserregistration: previous registration
Oct 2, 2000 to Jul 30, 2003factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:7e9f0928-8e28-b7e9-bea7-16dfa224457e
First observed: Oct 2, 2000
Last observed: Sep 15, 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.