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RIA / WealthAdvisor24 years in industry

Harold Frank Wachtel

Advisor at WACHTEL CAPITAL ADVISORS, LLC

TOWACO, NJ

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Search this name across graphsid dfx:ria:860589fa-37de-6733-1c4a-0dd375f2a157

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 3:34 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 0
On other graphs: 0
Observed: Dec 19, 2003 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: WACHTEL CAPITAL ADVISORS, LLC
Current firm class: state registeredderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Sep 5, 2002earliest registration or exam on IAPD
Years in industry: 24derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 2
Exams: S66
First exam: Sep 5, 2002
First registration: Dec 19, 2003
Dual registered: no
Other names: HAROLD FRANK WACHTEL|HAROLD FRANK WACHTEL
IAPD individual key: 4569632

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
WACHTEL CAPITAL ADVISORS, LLC	State registered	Dec 8, 2020	n/a	yes	TOWACO, NJ	Current employment
AURORA PRIVATE WEALTH, INC.	Independent wealth	May 1, 2018	May 3, 2021	no	Pine Brook, NJ	Previous registration
WACHTEL CAPITAL ADVISORS, LLC	n/a	May 14, 2009	Oct 31, 2019	no	PINE BROOK, NJ	Previous registration
HORIZON POINT WEALTH MANAGEMENT, LLC	Former SEC adviser	Apr 24, 2008	Aug 5, 2009	no	CHATHAM, NJ	Previous registration
SAGEPOINT FINANCIAL, INC.	Former SEC adviser	Apr 24, 2008	Jul 9, 2008	no	PHOENIX, AZ\|LIVINGSTON, NJ	Previous registration
M HOLDINGS SECURITIES, INC.	Bd affiliated wealth	Mar 28, 2005	Apr 29, 2008	no	Morristown, NJ\|EAST HANOVER, NJ	Previous registration
CHASE INVESTMENT SERVICES CORP.	Former SEC adviser	Dec 19, 2003	Feb 24, 2005	no	NEW YORK, NY	Previous registration

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
AURORA PRIVATE WEALTH, INC.	WACHTEL CAPITAL ADVISORS, LLC	May 3, 2021	Dec 8, 2020	-146	Firm change after gap	RIA to state RIA
WACHTEL CAPITAL ADVISORS, LLC	AURORA PRIVATE WEALTH, INC.	Oct 31, 2019	May 1, 2018	-548	Firm change after gap	Other
HORIZON POINT WEALTH MANAGEMENT, LLC	WACHTEL CAPITAL ADVISORS, LLC	Aug 5, 2009	May 14, 2009	-83	Firm change after gap	Other
SAGEPOINT FINANCIAL, INC.	HORIZON POINT WEALTH MANAGEMENT, LLC	Jul 9, 2008	Apr 24, 2008	-76	Firm change after gap	Other
M HOLDINGS SECURITIES, INC.	SAGEPOINT FINANCIAL, INC.	Apr 29, 2008	Apr 24, 2008	-5	Firm change	Other
CHASE INVESTMENT SERVICES CORP.	M HOLDINGS SECURITIES, INC.	Feb 24, 2005	Mar 28, 2005	32	Firm change	Other

Relationships

Registered with (7)

→ WACHTEL CAPITAL ADVISORS, LLCRegistered adviserregistration: current employment
Dec 8, 2020 to presentfactForm ADV
→ AURORA PRIVATE WEALTH, INC.Registered adviserregistration: previous registration
May 1, 2018 to May 3, 2021factForm ADV
→ WACHTEL CAPITAL ADVISORS, LLCRegistered adviserregistration: previous registration
May 14, 2009 to Oct 31, 2019factForm ADV
→ HORIZON POINT WEALTH MANAGEMENT, LLCRegistered adviserregistration: previous registration
Apr 24, 2008 to Aug 5, 2009factForm ADV
→ SAGEPOINT FINANCIAL, INC.Registered adviserregistration: previous registration
Apr 24, 2008 to Jul 9, 2008factForm ADV
→ M HOLDINGS SECURITIES, INC.Registered adviserregistration: previous registration
Mar 28, 2005 to Apr 29, 2008factForm ADV
→ CHASE INVESTMENT SERVICES CORP.Registered adviserregistration: previous registration
Dec 19, 2003 to Feb 24, 2005factForm ADV

Dated events

No dated event names this entity yet.