DFX Intelligence

D•••• L••••••• H•••: advisor 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 / WealthAdvisor16 years in industry

D•••• L••••••• H•••

Advisor at S•••••••• I••••••••• A••••••• G••••• L••

IRVINE, CA | CORONA, CA

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:4caf62d7-6347-be8c-4bc3-c6b4a206d2b7

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 5:33 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Nov 12, 2010 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•••••••• I••••••••• A••••••• G••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Apr 14, 2010earliest registration or exam on IAPD
Years in industry: 16derivedfrom the industry start date
Years at current firm: 13derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S•••••••• I••••••••• A••••••• G••••• L••	Independent wealth	Jul 10, 2020	n/a	yes	CORONA, CA	Current employment
M••••• W••••• M••••••••• L••	State registered	Apr 4, 2013	n/a	yes	IRVINE, CA\|IRVINE, CA	Current employment

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
L•••••• A•••• M•••••••••	S•••••••• I••••••••• A••••••• G••••• L••	Aug 19, 2021	Jul 10, 2020	-405	Firm change after gap	RIA to RIA
S•••••••• I••••••••• A•••••••	S•• A••••••• N••••••• L••	Dec 31, 2014	Jan 4, 2013

Relationships

Registered with (5)

→ S•••••••• I••••••••• A••••••• G••••• L••Registered adviserregistration: current employment
Jul 10, 2020 to presentfactForm ADV
→ M••••• W••••• M••••••••• L••Registered adviserregistration: current employment
Apr 4, 2013 to presentfactForm ADV
→ L•••••• A•••• M•••••••••Registered adviserregistration: previous registration
Feb 25, 2019 to Aug 19, 2021factForm ADV
→ S•••••••• I••••••••• A•••••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:4caf62d7-6347-be8c-4bc3-c6b4a206d2b7
First observed: Nov 12, 2010
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.