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H••• R•••••• T•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisor37 years in industry

H••• R•••••• T•••••

Advisor at M••••••

Boston, MA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:ba3c1ae6-affa-7ab1-e79f-c4e9f779397d

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 12:15 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: May 4, 1992 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••••••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Nov 3, 1988earliest registration or exam on IAPD
Years in industry: 37derivedfrom the industry start date
Years at current firm: 4derivedfrom 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••••••	Bd affiliated wealth	Jul 1, 2022	n/a	yes	Boston, MA	Current employment
T••••• W••••• M••••••••• P•••••••	Former SEC adviser	Feb 21, 2014	Oct 3, 2022	no	CAMBRIDGE, MA

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
T••••• W••••• M••••••••• P•••••••	M••••••	Oct 3, 2022	Jul 1, 2022	-94	Firm change after gap	RIA to ibd
N•• C•••••• L••	T••••• W••••• M••••••••• P•••••••	Sep 4, 2014

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
170457:140195:MA:2022-10-03	Oct 3, 2022	Jul 1, 2022	CAMBRIDGE, MA	Firm change after gap

Relationships

Registered with (4)

→ M••••••Registered adviserregistration: current employment
Jul 1, 2022 to presentfactForm ADV
→ T••••• W••••• M••••••••• P•••••••Registered adviserregistration: previous registration
Feb 21, 2014 to Oct 3, 2022factForm ADV
→ N•• C•••••• L••Registered adviserregistration: previous registration
Aug 21, 2008 to Sep 4, 2014factForm ADV
→ T••••• I••••••••• A•••••••••Registered adviser

Dated events

Occurred
Oct 3, 2022
Advisor changed firm
H••• R•••••• T••••• left T••••• W••••• M••••••••• P••••••• for Mariner (registered 2022-07-01)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:ba3c1ae6-affa-7ab1-e79f-c4e9f779397d
First observed: May 4, 1992
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.