DFX Intelligence
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Reading the graph
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Advisor at H•••••• T••••••• • K•••• L••
SOUTH PLAINFIELD, NJ
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
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.
| Firm | Class | Began | Ended | Current | Branch | Basis |
|---|---|---|---|---|---|---|
| H•••••• T••••••• • K•••• L•• | Independent wealth | Mar 6, 2026 | n/a | yes | SOUTH PLAINFIELD, NJ | Current employment |
| S••••••••• I••••••••• | Independent wealth | Jan 14, 2026 | Feb 24, 2026 | no | North Brunswick, NJ|NEW YORK, NY |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| S••••••••• I••••••••• | H•••••• T••••••• • K•••• L•• | Feb 24, 2026 | Mar 6, 2026 | 10 | Firm change | RIA to RIA |
| M•• I•••••••• S•••••••• L•• | S••••••••• I••••••••• | Dec 3, 2025 | Jan 14, 2026 |
| M•• I•••••••• S•••••••• L•• | Bd affiliated wealth | Feb 5, 2021 | Dec 3, 2025 | no | Iselin, NJ|South Plainfield, NJ | Previous registration |
| W••••••• F•••••••• S•••••••• I••• | Former SEC adviser | Mar 1, 2019 | Jan 20, 2021 | no | South Plainfield, NJ | Previous registration |
| Q•••••• A•••• M••••••••• I••• | Former SEC adviser | Mar 12, 2018 | Mar 1, 2019 | no | SOUTH PLAINFIELD, NJ|SOUTH PLAINFIELD, NJ|NORTH BRUNSWICK, NJ|MINNEAPOLIS, MN | Previous registration |
| F•••••••• E••••• S•••••••• I••• | Former SEC adviser | Mar 26, 2015 | Dec 12, 2017 | no | EDISON, NJ|NORTH BRUNSWICK, NJ|MARLTON, NJ|NORTH BRUNSWICK, NJ | Previous registration |
| H•••••• T••••••• • K•••• L•• | Independent wealth | Feb 7, 2013 | Apr 2, 2013 | no | S PLAINFIELD, NJ|S PLAINFIELD, NJ|EDISON, NJ | Previous registration |
| A••••••• A••••••• S••••••• | Former SEC adviser | Jan 31, 2011 | Apr 5, 2011 | no | LINCOLN, NE|EDISON, NJ | Previous registration |
| P•••• S••••••••• L•• | No RAUM reported | Oct 27, 2003 | Feb 9, 2009 | no | KENDALL PARK, NJ|KENDALL PARK, NJ|EDISON, NJ | Previous registration |
| 42 |
| Firm change |
| Ibd to RIA |
| W••••••• F•••••••• S•••••••• I••• | M•• I•••••••• S•••••••• L•• | Jan 20, 2021 | Feb 5, 2021 | 16 | Firm change | Ibd to ibd |
| Q•••••• A•••• M••••••••• I••• | W••••••• F•••••••• S•••••••• I••• | Mar 1, 2019 | Mar 1, 2019 | 0 | Bulk transfer | Ibd to ibd |
| F•••••••• E••••• S•••••••• I••• | Q•••••• A•••• M••••••••• I••• | Dec 12, 2017 | Mar 12, 2018 | 90 | Firm change | Other |
| H•••••• T••••••• • K•••• L•• | F•••••••• E••••• S•••••••• I••• | Apr 2, 2013 | Mar 26, 2015 | 723 | Firm change after gap | Other |
| A••••••• A••••••• S••••••• | H•••••• T••••••• • K•••• L•• | Apr 5, 2011 | Feb 7, 2013 | 674 | Firm change after gap | Other |
| P•••• S••••••••• L•• | A••••••• A••••••• S••••••• | Feb 9, 2009 | Jan 31, 2011 | 721 | Firm change after gap | Other |