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

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RIA / WealthAdvisorCertified Financial Planner39 years in industry

R••• A•••• H••••

Advisor at S•••••••• E••••• P•••••••• L•••

PIONEER, CA

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Search this name across graphsid dfx:ria:47faf008-f694-1ee2-0dfc-8a7850287d60

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:47 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
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: S•••••••• E••••• P•••••••• L•••
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Sep 1, 1987earliest registration or exam on IAPD
Years in industry: 39derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
S•••••••• E••••• P•••••••• L•••	Independent wealth	Oct 2, 2024	n/a	yes	PIONEER, CA	Current employment
O•••• W•••••• I•••	Bd affiliated wealth	Nov 3, 2023	Oct 5, 2024	no

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
O•••• W•••••• I•••	S•••••••• E••••• P•••••••• L•••	Oct 5, 2024	Oct 2, 2024	-3	Firm change	Ibd to RIA
F•• S••••••••• C•••••••••	O•••• W•••••• I•••	Nov 3, 2023

Relationships

Registered with (3)

→ S•••••••• E••••• P•••••••• L•••Registered adviserregistration: current employment
Oct 2, 2024 to presentfactForm ADV
→ O•••• W•••••• I•••Registered adviserregistration: previous registration
Nov 3, 2023 to Oct 5, 2024factForm ADV
→ F•• S••••••••• C•••••••••Registered adviserregistration: previous registration
Jul 8, 1997 to Nov 3, 2023factForm ADV

Dated events

Occurred
Oct 5, 2024
Advisor changed firm
R••• A•••• H•••• left O•••• W•••••• I••• for S•••••••• E••••• P•••••••• L••• (registered 2024-10-02)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:47faf008-f694-1ee2-0dfc-8a7850287d60
First observed: Jul 8, 1997
Last observed: Sep 14, 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.