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

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RIA / WealthAdvisordual registered (broker-dealer)20 years in industry

H•••••• M••••••• L••

Advisor at A••••••••• F•••••••• S•••••••• L••

Charlotte, NC

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Search this name across graphsid dfx:ria:827f7b55-a95c-6072-baf5-b9b6bbb0f911

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:04 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Jul 11, 2006 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: A••••••••• F•••••••• S•••••••• L••
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: Jul 10, 2006earliest registration or exam on IAPD
Years in industry: 20derivedfrom the industry start date
Years at current firm: 5derivedfrom 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
A••••••••• F•••••••• S•••••••• L••	National bd RIA	Apr 12, 2021	n/a	yes	Charlotte, NC	Current employment
A••••••••• F•••••••• S•••••••• L••	National bd RIA	Nov 3, 2010	Mar 29, 2021	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
W•••• F•••• A•••••••	A••••••••• F•••••••• S•••••••• L••	Jul 23, 2010	Nov 3, 2010	103	Firm change	Wirehouse to ibd
S•••• • S••••••••• L••	W•••• F•••• A•••••••	Oct 29, 2007

Relationships

Registered with (4)

→ A••••••••• F•••••••• S•••••••• L••Registered adviserregistration: previous registration
Nov 3, 2010 to Mar 29, 2021factForm ADV
→ W•••• F•••• A•••••••Registered adviserregistration: previous registration
May 6, 2008 to Jul 23, 2010factForm ADV
→ S•••• • S••••••••• L••Registered adviserregistration: previous registration
Nov 22, 2006 to Oct 29, 2007factForm ADV
→ A• G• E•••••• • S•••• I•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:827f7b55-a95c-6072-baf5-b9b6bbb0f911
First observed: Jul 11, 2006
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.