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N••••••• M• S•••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)19 years in industry

N••••••• M• S•••••••

Advisor at M•••••• L••••• P•••••• F••••• • S•••• I•••••••••

WEST HARTFORD, CT

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Search this name across graphsid dfx:ria:86f9cb58-822a-9d90-7eb0-1a04ba887898

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 11:12 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Dec 14, 2007 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: M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
Current firm class: wirehousederived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: May 1, 2007earliest registration or exam on IAPD
Years in industry: 19derivedfrom the industry start date
Years at current firm: 0derivedfrom 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
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	Wirehouse	Aug 31, 2026	n/a	yes	WEST HARTFORD, CT	Current employment
C••••••••• F•••••••• N••••••	National bd RIA	Mar 30, 2021	Sep 11, 2026	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
C••••••••• F•••••••• N••••••	M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	Sep 11, 2026	Aug 31, 2026	-11	Firm change	Ibd to wirehouse
M• H••••••• S••••••••• I•••	C••••••••• F•••••••• N••••••	Apr 1, 2021

Relationships

Registered with (3)

→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Registered adviserregistration: previous registration
Dec 14, 2007 to May 22, 2017factForm ADV
→ C••••••••• F•••••••• N••••••Registered adviserregistration: previous registration
Mar 30, 2021 to Sep 11, 2026factForm ADV
→ M• H••••••• S••••••••• I•••Registered adviserregistration: previous registration
May 23, 2017 to Apr 1, 2021factForm ADV

Dated events

Occurred
Sep 11, 2026
Advisor changed firm
N••••••• M• S••••••• left C••••••••• F•••••••• N•••••• for M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (registered 2026-08-31)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:86f9cb58-822a-9d90-7eb0-1a04ba887898
First observed: Dec 14, 2007
Last observed: Sep 14, 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.