DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)16 years in industry

H•••• C•••••• R•••

Advisor at W••••••••• A••••••• L••

PALO ALTO, CA

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Search this name across graphsid dfx:ria:020adf3d-2c26-0335-2488-a000a7851e5c

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:59 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Jan 20, 2021 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: W••••••••• A••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Jan 1, 2010earliest registration or exam on IAPD
Years in industry: 16derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
W••••••••• A••••••• L••	Bd affiliated wealth	Aug 4, 2023	n/a	yes	PALO ALTO, CA	Current employment
A••• I••••• A•••••••	Independent wealth	May 5, 2023	Jul 26, 2023	no	CHARLOTTE, NC	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
A••• I••••• A•••••••	W••••••••• A••••••• L••	Jul 26, 2023	Aug 4, 2023	9	Firm change	RIA to RIA
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	A••• I••••• A•••••••	May 17, 2021	May 5, 2023

Relationships

Registered with (3)

→ W••••••••• A••••••• L••Registered adviserregistration: current employment
Aug 4, 2023 to presentfactForm ADV
→ A••• I••••• A•••••••Registered adviserregistration: previous registration
May 5, 2023 to Jul 26, 2023factForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Registered adviserregistration: previous registration
Jan 20, 2021 to May 17, 2021factForm ADV

Dated events

Occurred
Jul 26, 2023
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:020adf3d-2c26-0335-2488-a000a7851e5c
First observed: Jan 20, 2021
Last observed: Sep 14, 2026 9 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.