DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)28 years in industry

M••••• A••• M••••••

Advisor at H••••••••• C•••••• A•••••••• L••

PALM DESERT, CA

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Search this name across graphsid dfx:ria:7a88c87a-d206-6a09-3afe-dbefe49faf12

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:14 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jul 30, 2013 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: H••••••••• C•••••• A•••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Jan 10, 1998earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 11derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
H••••••••• C•••••• A•••••••• L••	Independent wealth	Sep 2, 2015	n/a	yes	PALM DESERT, CA	Current employment
C••••• A•••••• N••••••• L••	Former SEC adviser	Nov 1, 2017	Feb 18, 2019	no	PALM DESERT, CA\|Torrance, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C••••• A•••••• N••••••• L••	n/a	Feb 18, 2019	n/a	n/a	Departure no registered destination	Departure
G••••• S••••••••• I•••	H••••••••• C•••••• A•••••••• L••	Nov 1, 2017	Sep 2, 2015	-791

Relationships

Registered with (4)

→ H••••••••• C•••••• A•••••••• L••Registered adviserregistration: current employment
Sep 2, 2015 to presentfactForm ADV
→ C••••• A•••••• N••••••• L••Registered adviserregistration: previous registration
Nov 1, 2017 to Feb 18, 2019factForm ADV
→ G••••• S••••••••• I•••Registered adviserregistration: previous registration
Apr 29, 2014 to Nov 1, 2017factForm ADV
→ M•••• W••••• M••••••••• I•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:7a88c87a-d206-6a09-3afe-dbefe49faf12
First observed: Jul 30, 2013
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.