DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)24 years in industry

H••• P•••• E••••

Advisor at C•••••••

Costa Mesa, CA

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Search this name across graphsid dfx:ria:48b9fd72-1aa1-e280-5e8c-f59a0c511c9d

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 1:59 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 1
On other graphs: 0
Observed: May 29, 2002 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: C•••••••
Current firm class: institutional managerderived
Book size: not public••• Locked
Industry start: May 25, 2002earliest registration or exam on IAPD
Years in industry: 24derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 6

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C•••••••	Institutional manager	Feb 17, 2026	n/a	yes	Costa Mesa, CA	Current employment
A•••• C•••• I••••••••• L••	Former SEC adviser	Dec 8, 2011	Apr 30, 2026	no	NEWPORT BEACH, CA\|COSTA MESA, CA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
A•••• C•••• I••••••••• L••	C•••••••	Apr 30, 2026	Feb 17, 2026	-72	Firm change after gap	Other
T•• I•••••••••	A•••• C•••• I••••••••• L••	Nov 6, 2012	Dec 8, 2011

Team moves

••• Locked

Team	Left	Joined	From	Kind
159347:175112:CA:2026-04-30	Apr 30, 2026	Feb 17, 2026	COSTA MESA, CA	Firm change after gap

Relationships

Registered with (7)

→ C•••••••Registered adviserregistration: current employment
Feb 17, 2026 to presentfactForm ADV
→ A•••• C•••• I••••••••• L••Registered adviserregistration: previous registration
Dec 8, 2011 to Apr 30, 2026factForm ADV
→ T•• I•••••••••Registered adviserregistration: previous registration
Aug 3, 2011 to Nov 6, 2012factForm ADV
→ L••••••• A•••••••• L••

Dated events

Occurred
Apr 30, 2026
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:48b9fd72-1aa1-e280-5e8c-f59a0c511c9d
First observed: May 29, 2002
Last observed: Sep 14, 2026 9 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.