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

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RIA / WealthAdvisordual registered (broker-dealer)40 years in industry

H••••••• L••••• M•••••

Advisor at M••••• S••••••

New Orleans, LA

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Search this name across graphsid dfx:ria:9026f01c-7732-1564-168e-fd6759fad877

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:06 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Jun 19, 2009 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••••• S••••••
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: Feb 19, 1986earliest registration or exam on IAPD
Years in industry: 40derivedfrom the industry start date
Years at current firm: 14derivedfrom the current registration's begin date
Prior firms: 2

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••••• S••••••	Wirehouse	Jun 12, 2012	n/a	yes	New Orleans, LA	Current employment
H•••••• W•••••• I••••••••• S••••••• I•••	Independent wealth	Feb 7, 2012	Jun 13, 2012	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
H•••••• W•••••• I••••••••• S••••••• I•••	M••••• S••••••	Jun 13, 2012	Jun 12, 2012	-1	Firm change	Other
C••••• I••••••••• S••••••• L••	H•••••• W•••••• I••••••••• S••••••• I•••	Feb 13, 2012

Relationships

Registered with (3)

→ M••••• S••••••Registered adviserregistration: current employment
Jun 12, 2012 to presentfactForm ADV
→ H•••••• W•••••• I••••••••• S••••••• I•••Registered adviserregistration: previous registration
Feb 7, 2012 to Jun 13, 2012factForm ADV
→ C••••• I••••••••• S••••••• L••Registered adviserregistration: previous registration
Jun 19, 2009 to Feb 13, 2012factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:9026f01c-7732-1564-168e-fd6759fad877
First observed: Jun 19, 2009
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.