DFX Intelligence

H•••••• F•••••••• N•••••••: registered adviser on the ria / wealth management graph | DFX Data Factory

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

H•••••• F•••••••• N•••••••

CRD 119524

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:37195581-583c-d250-1b72-2639cd318b56

Data as of Dec 14, 2011 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 9:01 PM UTC and rebuilt at most every 15 minutes.

Relationships: 15
Dated events: 3
On other graphs: 0
Observed: Dec 5, 2011 to Dec 14, 2011
2 observations

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

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $1.9M••• Locked
Discretionary RAUM: $0
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Accounts: 105
SEC number

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A••••• M••••• H•••••	Shareholder	B	yes	01/2011	Dec 5, 2011	Dec 14, 2011
E•••••••• A••	Trustee	Na	yes	04/2000	Dec 5, 2011	Dec 14, 2011

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
A•••• F•••••••• S•••••••	Investment Adviser	n/a	n/a	n/a	n/a	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Redding	CA	United States	n/a	no
SAN JOSE	CA	United States	n/a	no
n/a	n/a	n/a	n/a	no

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	1	-1	n/a	0	0	0	0	3

Relationships

Controls (5)

← E•••••••• B••••• J•••OwnerCEO/PRESIDENT/CHIEF COMPLIANCE OFFICER, ownership code NA, individual
Dec 5, 2011 to presentfactForm ADV
← A••••• M••••• H•••••OwnerSHAREHOLDER, ownership code B, individual
Dec 5, 2011 to presentfactForm ADV
← E•••••••• A••OwnerTRUSTEE, ownership code NA, individual
Dec 5, 2011 to presentfactForm ADV
← S••••• G•••• J••••OwnerEXECUTIVE VICE PRESIDENT/CHIEF OPERATIONS OFFICER/SECRETARY, ownership code NA, individual
Dec 5, 2011 to present

Dated events

Occurred
Nov 17, 2025
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago
Occurred
Sep 4, 2025
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago
Occurred
Mar 26, 2024
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:37195581-583c-d250-1b72-2639cd318b56
First observed: Dec 5, 2011
Last observed: Dec 14, 2011 179 months ago
Source families: Federal regulator filings
3 registered feeds 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.