DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)26 years in industry

R•••••• H••••• V•• H••••

Advisor at L••••••• S••••••••• C••••

San Francisco, CA | Pittsburg, CA

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Search this name across graphs

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:55 PM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 0
On other graphs: 0
Observed: Sep 9, 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: L••••••• S••••••••• C••••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Jan 27, 2000earliest registration or exam on IAPD
Years in industry: 26derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 7

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
L••••••• S••••••••• C••••	Bd affiliated wealth	Dec 6, 2018	n/a	yes	Pittsburg, CA\|San Francisco, CA	Current employment
F•••••••• E••••• S•••••••• I•••	Former SEC adviser	Feb 2, 2017	Nov 7, 2018	no	SAN FRANCISCO, CA\|PITTSBURG, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
F•••••••• E••••• S•••••••• I•••	L••••••• S••••••••• C••••	Nov 7, 2018	Dec 6, 2018	29	Firm change	Ibd to RIA
S••••••• I••••••••• I•••	F•••••••• E••••• S•••••••• I•••	Jan 4, 2016	Feb 2, 2017

Team moves

••• Locked

Team	Left	Joined	From	Kind
18464:16204:CA:2018-11-06	Nov 7, 2018	Dec 6, 2018	PITTSBURG, CA	Firm change

Relationships

Registered with (7)

→ L••••••• S••••••••• C••••Registered adviserregistration: current employment
Dec 6, 2018 to presentfactForm ADV
→ F•••••••• E••••• S•••••••• I•••Registered adviserregistration: previous registration
Feb 2, 2017 to Nov 7, 2018factForm ADV
→ S••••••• I••••••••• I•••Registered adviserregistration: previous registration
Aug 19, 2014 to Jan 4, 2016factForm ADV
→ V••••• C•••••• W•••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Sep 9, 2003
Last observed: Sep 15, 2026 8 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.