DFX Intelligence

R••••• L•• G••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)34 years in industry

R••••• L•• G••••••

Advisor at H•••••• S••••••••• I•••

Sherman Oaks, CA | Park City, UT

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Search this name across graphsid dfx:ria:78760359-2814-7372-0156-1952d2ffe72f

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:02 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: May 6, 2002 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: H•••••• S••••••••• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Jul 1, 1992earliest registration or exam on IAPD
Years in industry: 34derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
H•••••• S••••••••• I•••	Bd affiliated wealth	Jul 15, 2022	n/a	yes	Sherman Oaks, CA\|Park City, UT	Current employment
O••••••••• A•••• M•••••••••	Bd affiliated wealth	Apr 15, 2003	Nov 12, 2007	no	NEW YORK, NY

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
O••••••••• • C•• I•••	O••••••••• A•••• M•••••••••	Jul 22, 2022	Apr 15, 2003	-7,038	Firm change after gap	Other
O••••••••• A•••• M•••••••••	H•••••• S••••••••• I•••	Nov 12, 2007	Jul 15, 2022

Relationships

Registered with (4)

→ H•••••• S••••••••• I•••Registered adviserregistration: current employment
Jul 15, 2022 to presentfactForm ADV
→ O••••••••• • C•• I•••Registered adviserregistration: previous registration
Jan 3, 2003 to Jul 22, 2022factForm ADV
→ O••••••••• A•••• M•••••••••Registered adviserregistration: previous registration
Apr 15, 2003 to Nov 12, 2007factForm ADV
→ C••• W•••• M•••••• C••••Registered adviser

Dated events

Occurred
Jul 22, 2022
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:78760359-2814-7372-0156-1952d2ffe72f
First observed: May 6, 2002
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.