DFX Intelligence

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

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RIA / WealthAdvisor16 years in industry

L••••• K••••••• H••••

Advisor at C••••••••• I••••••••• A•••••••

WESTPORT, CT

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:08 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 1
On other graphs: 0
Observed: Aug 19, 2010 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: C••••••••• I••••••••• A•••••••
Current firm class: mixed wealth managerderived
Book size: not public••• Locked
Industry start: Aug 16, 2010earliest registration or exam on IAPD
Years in industry: 16derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••••••••• I••••••••• A•••••••	Mixed wealth	Sep 11, 2026	n/a	yes	WESTPORT, CT	Current employment
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	Wirehouse	Aug 19, 2010	Aug 21, 2026	no	FAIRFIELD, CT\|GREENWICH, CT\|NEW YORK, NY\|BOSTON, MA\|NEW YORK, NY

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	C••••••••• I••••••••• A•••••••	Aug 21, 2026	Sep 11, 2026	21	Firm change	Wirehouse to RIA

Relationships

Registered with (2)

→ C••••••••• I••••••••• A•••••••Registered adviserregistration: current employment
Sep 11, 2026 to presentfactForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Registered adviserregistration: previous registration
Aug 19, 2010 to Aug 21, 2026factForm ADV

Dated events

Order

Occurred
21 Aug 2026
Advisor changed firm
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Aug 19, 2010
Last observed: Sep 14, 2026 9 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.