DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)18 years in industry

H••••• R••••• L••••

Advisor at C••••• I••••••••• A••••••• L••

Roseville, CA

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Search this name across graphsid dfx:ria:8936152a-5758-6019-de17-afdc18513524

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 1:17 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Oct 22, 2018 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••••• I••••••••• A••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Jan 1, 2008earliest registration or exam on IAPD
Years in industry: 18derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••••• I••••••••• A••••••• L••	Bd affiliated wealth	Aug 14, 2026	n/a	yes	Roseville, CA	Current employment
L•• F•••••••• L••	Bd affiliated wealth	Jul 10, 2025	Sep 11, 2026	no	ROSEVILLE, CA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
L•• F•••••••• L••	C••••• I••••••••• A••••••• L••	Sep 11, 2026	Aug 14, 2026	-28	Bulk transfer	Ibd to ibd
N••• F•••••••• G••••• I•••	L•• F•••••••• L••	Jul 10, 2025	Jul 10, 2025

Team moves

••• Locked

Team	Left	Joined	From	Kind
6413:105644:CA:2026-09-11	Sep 11, 2026	Aug 14, 2026	ROSEVILLE, CA	Firm change

Relationships

Registered with (3)

→ C••••• I••••••••• A••••••• L••Registered adviserregistration: current employment
Aug 14, 2026 to presentfactForm ADV
→ L•• F•••••••• L••Registered adviserregistration: previous registration
Jul 10, 2025 to Sep 11, 2026factForm ADV
→ N••• F•••••••• G••••• I•••Registered adviserregistration: previous registration
Oct 22, 2018 to Jul 10, 2025factForm ADV

Dated events

Occurred
Sep 11, 2026
Advisor changed firm
H••••• R••••• L•••• left L•• F•••••••• L•• for C••••• I••••••••• A••••••• L•• (registered 2026-08-14)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:8936152a-5758-6019-de17-afdc18513524
First observed: Oct 22, 2018
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.