DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)33 years in industry

C•••• H••••••• B•••••

Advisor at R•••••• J•••• • A••••••••• I•••

Roseville, CA

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Search this name across graphs

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 2:10 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Jul 8, 1997 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: R•••••• J•••• • A••••••••• I•••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Sep 3, 1993earliest registration or exam on IAPD
Years in industry: 33derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
R•••••• J•••• • A••••••••• I•••	National bd RIA	Feb 1, 2024	n/a	yes	Roseville, CA	Current employment
S•••••• N••••••• • C••••••• I•••••••••	National bd RIA	May 13, 2009	Feb 13, 2024	no	LINCOLN, CA\|ROSEVILLE, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
S•••••• N••••••• • C••••••• I•••••••••	R•••••• J•••• • A••••••••• I•••	Feb 13, 2024	Feb 1, 2024	-12	Firm change	Ibd to ibd
W•••• F•••• A•••••••	S•••••• N••••••• • C••••••• I•••••••••	May 13, 2009	May 13, 2009

Relationships

Registered with (4)

→ R•••••• J•••• • A••••••••• I•••Registered adviserregistration: current employment
Feb 1, 2024 to presentfactForm ADV
→ S•••••• N••••••• • C••••••• I•••••••••Registered adviserregistration: previous registration
May 13, 2009 to Feb 13, 2024factForm ADV
→ W•••• F•••• A•••••••Registered adviserregistration: previous registration
Jan 1, 2008 to May 13, 2009factForm ADV
→ A• G• E•••••• • S•••• I•••

Dated events

Order

Occurred
13 Feb 2024
Advisor changed firm
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Jul 8, 1997
Last observed: Sep 14, 2026 10 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.