DFX Intelligence

R••••• W•••••• S•••••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Planner21 years in industry

R••••• W•••••• S•••••••••

Advisor at H•••••••• R••• P•••••••• L••

Newport Coast, CA

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Search this name across graphsid dfx:ria:986c9f3c-d369-062b-6316-0dbc66fef633

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 2:00 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Aug 19, 2009 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•••••••• R••• P•••••••• L••
Current firm class: state registeredderived
Book size: not public••• Locked
Industry start: Feb 1, 2005earliest registration or exam on IAPD
Years in industry: 21derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
H•••••••• R••• P•••••••• L••	State registered	Apr 7, 2025	n/a	yes	Newport Coast, CA	Current employment
I•••••••• C•••••• P•••••••• L••	Former SEC adviser	Dec 4, 2012	Dec 31, 2014	no	NEWPORT BEACH, CA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
H•••••••• R••• P•••••••• L••	I•••••••• C•••••• P•••••••• L••	Dec 31, 2024	Dec 4, 2012	-4,410	Firm change after gap	Other
I•••••••• C•••••• P•••••••• L••	H•••••••• R••• P•••••••• L••	Dec 31, 2014	Apr 7, 2025

Relationships

Registered with (2)

→ H•••••••• R••• P•••••••• L••Registered adviserregistration: previous registration
Aug 19, 2009 to Dec 31, 2024factForm ADV
→ I•••••••• C•••••• P•••••••• L••Registered adviserregistration: previous registration
Dec 4, 2012 to Dec 31, 2014factForm ADV

Dated events

Occurred
Dec 31, 2024
Advisor changed firm
R••••• W•••••• S••••••••• left H•••••••• R••• P•••••••• L•• for I•••••••• C•••••• P•••••••• L•• (registered 2012-12-04)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:986c9f3c-d369-062b-6316-0dbc66fef633
First observed: Aug 19, 2009
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.