DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)23 years in industry

S•••• H• P••

Advisor at P••••••• W••••• P•••••••

SAN JOSE, CA | FOSTER CITY, CA

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Search this name across graphsid dfx:ria:41a109b6-0712-1689-5126-707fc70cc9f5

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 3:19 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 0
On other graphs: 0
Observed: Mar 14, 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: P••••••• W••••• P•••••••
Current firm class: state registeredderived
Book size: not public••• Locked
Industry start: Oct 20, 2002earliest registration or exam on IAPD
Years in industry: 23derivedfrom the industry start date
Years at current firm: 17derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
P••••••• W••••• P•••••••	State registered	May 17, 2013	n/a	yes	SAN JOSE, CA	Current employment
L•• F•••••••• L••	Bd affiliated wealth	Sep 8, 2009	n/a	yes	SAN JOSE, CA\|FOSTER CITY, CA	Current employment

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
S•••••••• W••••• A••••••• G••••	L•• F•••••••• L••	Dec 11, 2009	Sep 8, 2009	-94	Firm change after gap	Other
A••••••••• P••••••• I••••••••• A••••••• I••	S•••••••• W••••• A••••••• G••••	Oct 13, 2009	Apr 1, 2009

Relationships

Registered with (7)

→ P••••••• W••••• P•••••••Registered adviserregistration: current employment
May 17, 2013 to presentfactForm ADV
→ L•• F•••••••• L••Registered adviserregistration: current employment
Sep 8, 2009 to presentfactForm ADV
→ S•••••••• W••••• A••••••• G••••Registered adviserregistration: previous registration
Apr 1, 2009 to Dec 11, 2009factForm ADV
→ A••••••••• P••••••• I••••••••• A••••••• I••Registered adviser

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:41a109b6-0712-1689-5126-707fc70cc9f5
First observed: Mar 14, 2003
Last observed: Sep 15, 2026 7 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.