DFX Intelligence

M••••• W••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserstate registeredstate registeredRAUM under $100M

M••••• W••••• L••

CRD 331245

CHANDLER, AZ

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Search this name across graphsid dfx:ria:a7a906df-860a-626d-0628-c4a3c7a882bf

Data as of Jun 29, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 3:04 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Jun 29, 2026 to Jun 29, 2026
1 observations

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

Firm class: state registeredderivedon the IAPD state feed, not SEC-registered
Regulatory AUM: $21.8M••• Locked
Discretionary RAUM: $21.7M
Private client RAUM: $21.5Mderived••• Locked
Private client share: 98%derivedprivate client RAUM over total RAUM
Employees: 3
Advisory employees: 3

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
D••••• R••• K•••••	n/a	CHANDLER, AZ	2	13	2	no
M••••• H••••• H••••••	n/a	CHANDLER, AZ	2	14

Teams in

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
T•••• W•••••	2	Jun 3, 2024	May 31, 2024	HIGH POINT, NC	Team lift out	RIA to state RIA	5.9%

Relationships

Registered with (4)

← T••••• Z••••Advisorregistration: current employment
Jul 9, 2026 to presentfactForm ADV
← J••• L•••• K••••••Advisorregistration: current employment
May 31, 2024 to presentfactForm ADV
← D••••• R••• K•••••Advisorregistration: current employment
May 30, 2024 to presentfactForm ADV
← M••••• H••••• H••••••

Dated events

Occurred
Jun 3, 2024
Team lift-out
2 advisors left T•••• W••••• (High Point, NC) for M••••• W••••• L•• on the same day
Form ADVobserved 7 days ago
2 advisors

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:a7a906df-860a-626d-0628-c4a3c7a882bf
First observed: Jun 29, 2026
Last observed: Jun 29, 2026 2 months ago
Source families: Federal regulator filings
3 registered feeds 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.