DFX Intelligence

K•••• H••••• O••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)38 years in industry

K•••• H••••• O••••

Advisor at C•••••••• I••••••••• R••••••• A•••••••• I•••

Placentia, CA | Navarre, FL

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Search this name across graphsid dfx:ria:91de74c0-a920-0008-5261-65c9f17a4d34

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 12:22 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Mar 1, 1999 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••••••••• R••••••• A•••••••• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Jun 1, 1988earliest registration or exam on IAPD
Years in industry: 38derivedfrom the industry start date
Years at current firm: 15derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C•••••••• I••••••••• R••••••• A•••••••• I•••	Bd affiliated wealth	Apr 29, 2011	n/a	yes	Placentia, CA\|Navarre, FL	Current employment
N•••••• W••••• S••••••••• I•••	Former SEC adviser	Dec 19, 2011	Dec 21, 2011	no	IRVINE, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
N•••••• W••••• S••••••••• I•••	n/a	Dec 21, 2011	n/a	n/a	Departure no registered destination	Departure
M•••• C••••••• A••••••• S••••••	C•••••••• I••••••••• R••••••• A•••••••• I•••	Apr 28, 2011	Apr 29, 2011	1

Relationships

Registered with (3)

→ C•••••••• I••••••••• R••••••• A•••••••• I•••Registered adviserregistration: current employment
Apr 29, 2011 to presentfactForm ADV
→ N•••••• W••••• S••••••••• I•••Registered adviserregistration: previous registration
Dec 19, 2011 to Dec 21, 2011factForm ADV
→ M•••• C••••••• A••••••• S••••••Registered adviserregistration: previous registration
Mar 1, 1999 to Apr 28, 2011factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:91de74c0-a920-0008-5261-65c9f17a4d34
First observed: Mar 1, 1999
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.