DFX Intelligence

H•••• M••••••• P•••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)40 years in industry

H•••• M••••••• P•••

Advisor at T••• I••••••••• A•••••••• L••

LAGUNA NIGUEL, CA

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Search this name across graphsid dfx:ria:0912e1aa-8e8d-f08c-424b-f6bbf46e6f6d

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:05 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Sep 16, 1999 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: T••• I••••••••• A•••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Sep 11, 1986earliest registration or exam on IAPD
Years in industry: 40derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
T••• I••••••••• A•••••••• L••	Independent wealth	Jan 8, 2026	n/a	yes	LAGUNA NIGUEL, CA	Current employment
C•••••• S••••• • C••• I•••	National bd RIA	Sep 16, 1999	Feb 13, 2019	no	LAGUNA HILLS, CA\|Brea, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C•••••• S••••• • C••• I•••	T••• I••••••••• A•••••••• L••	Feb 13, 2019	Jan 8, 2026	2,521	Firm change after gap	Ibd to RIA

Relationships

Registered with (2)

→ T••• I••••••••• A•••••••• L••Registered adviserregistration: current employment
Jan 8, 2026 to presentfactForm ADV
→ C•••••• S••••• • C••• I•••Registered adviserregistration: previous registration
Sep 16, 1999 to Feb 13, 2019factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:0912e1aa-8e8d-f08c-424b-f6bbf46e6f6d
First observed: Sep 16, 1999
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.