DFX Intelligence

N•••••••• P••••• F••••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorChartered Financial Analyst10 years in industry

N•••••••• P••••• F••••••••

Advisor at H••••• C•••••• M••••••••• L••

NEW YORK, NY

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Search this name across graphsid dfx:ria:caec0c0b-5f2e-35d3-72bd-24dd05e1a9f6

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 2:48 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Aug 22, 2016 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: H••••• C•••••• M••••••••• L••
Current firm class: mixed wealth managerderived
Book size: not public••• Locked
Industry start: Feb 1, 2016earliest registration or exam on IAPD
Years in industry: 10derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
H••••• C•••••• M••••••••• L••	Mixed wealth	Mar 18, 2022	n/a	yes	NEW YORK, NY	Current employment
M••••• S••••••	Wirehouse	Aug 22, 2016	Apr 18, 2019	no	New York, NY	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M••••• S••••••	H••••• C•••••• M••••••••• L••	Apr 18, 2019	Mar 18, 2022	1,065	Firm change after gap	Wirehouse to RIA

Relationships

Registered with (2)

→ H••••• C•••••• M••••••••• L••Registered adviserregistration: current employment
Mar 18, 2022 to presentfactForm ADV
→ M••••• S••••••Registered adviserregistration: previous registration
Aug 22, 2016 to Apr 18, 2019factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:caec0c0b-5f2e-35d3-72bd-24dd05e1a9f6
First observed: Aug 22, 2016
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.