DFX Intelligence

M•••••• S•••• R••••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisor14 years in industry

M•••••• S•••• R••••••••

Advisor at H•••••••• A•••••••• L••

CHICAGO, IL | Waltham, MA

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Search this name across graphsid dfx:ria:facf65b7-f937-9a2c-5bc9-5706614a703c

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:39 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 1
Observed: Nov 14, 2011 to Sep 14, 2026

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Private Equityidentity

M•••••• S•••• R••••••••

same person, same CRD on Schedule A · confidence 95% · family precision 100%

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: H•••••••• A•••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Nov 11, 2011earliest registration or exam on IAPD
Years in industry: 14derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
H•••••••• A•••••••• L••	Bd affiliated wealth	Nov 24, 2020	n/a	yes	Waltham, MA\|CHICAGO, IL	Current employment
A••••• W••••• M••••••••• L••	Former SEC adviser	Feb 10, 2014	Nov 16, 2020	no	WALTHAM, MA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
A••••• W••••• M••••••••• L••	H•••••••• A•••••••• L••	Nov 16, 2020	Nov 24, 2020	8	Firm change	RIA to ibd
A••••• W••••• M••••••••• I•••	A••••• W••••• M••••••••• L••	Feb 27, 2014	Feb 10, 2014

Team moves

••• Locked

Team	Left	Joined	From	Kind
170099:145323:MA:2020-11-16	Nov 16, 2020	Nov 24, 2020	WALTHAM, MA	Firm change

Relationships

Registered with (3)

→ H•••••••• A•••••••• L••Registered adviserregistration: current employment
Nov 24, 2020 to presentfactForm ADV
→ A••••• W••••• M••••••••• L••Registered adviserregistration: previous registration
Feb 10, 2014 to Nov 16, 2020factForm ADV
→ A••••• W••••• M••••••••• I•••Registered adviserregistration: previous registration
Nov 14, 2011 to Feb 27, 2014factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:facf65b7-f937-9a2c-5bc9-5706614a703c
First observed: Nov 14, 2011
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.