DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Planner26 years in industry

M••••••• S•••• B••••

Advisor at H•••••••• A•••••••• L••

••• Locked

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Search this name across graphsid dfx:ria:fb5d85ad-fbed-1800-1482-fb8fe7d86e3d

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 1:10 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Feb 4, 2003 to Sep 15, 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•••••••• A•••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Sep 22, 2000earliest registration or exam on IAPD
Years in industry: 26derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
H•••••••• A•••••••• L••	Bd affiliated wealth	Apr 21, 2023	n/a	yes	Boca Raton, FL\|Purchase, NY\|CHICAGO, IL	Current employment
A••••• W••••• M•••••••••	Former SEC adviser	Apr 29, 2022	May 18, 2023	no	PURCHASE, NY

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
A••••• W••••• M•••••••••	H•••••••• A•••••••• L••	May 18, 2023	Apr 21, 2023	-27	Firm change	RIA to ibd
A••••• W••••• M••••••••• L••	A••••• W••••• M•••••••••	Jun 1, 2022	Apr 29, 2022

Team moves

••• Locked

Team	Left	Joined	From	Kind
317691:145323:NY:2023-05-18	May 18, 2023	Apr 21, 2023	PURCHASE, NY	Firm change
154719:317691:NY:2022-06-01	Jun 1, 2022	Apr 29, 2022	PURCHASE, NY	Firm change after gap

Relationships

Registered with (4)

→ H•••••••• A•••••••• L••Registered adviserregistration: current employment
Apr 21, 2023 to presentfactForm ADV
→ A••••• W••••• M•••••••••Registered adviserregistration: previous registration
Apr 29, 2022 to May 18, 2023factForm ADV
→ A••••• W••••• M••••••••• L••Registered adviserregistration: previous registration
Oct 20, 2010 to Jun 1, 2022factForm ADV
→ P••• A••••• S••••••••• L••

Dated events

Occurred
May 18, 2023
Advisor changed firm
M••••••• S•••• B•••• left A••••• W••••• M••••••••• for H•••••••• A•••••••• L•• (registered 2023-04-21)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:fb5d85ad-fbed-1800-1482-fb8fe7d86e3d
First observed: Feb 4, 2003
Last observed: Sep 15, 2026 7 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.