DFX Intelligence

J•••• H••••• Y••••: advisor on the ria / wealth management graph | DFX Data Factory

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthAdvisordual registered (broker-dealer)29 years in industry

J•••• H••••• Y••••

Advisor at O•••• I••••••••• I•••

Huntington Beach, CA | MERIDEN, CT

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:9ccf1553-015f-b9cc-81c7-fcbc5bd5a7cf

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 1:39 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 2
On other graphs: 0
Observed: Oct 4, 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: O•••• I••••••••• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Jan 17, 1997earliest registration or exam on IAPD
Years in industry: 29derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
O•••• I••••••••• I•••	Bd affiliated wealth	Jan 5, 2026	n/a	yes	MERIDEN, CT\|Huntington Beach, CA	Current employment
B•• W••••• A•••••••• L••	Independent wealth	Nov 9, 2016	Oct 9, 2023	no	Irvine, CA\|VERNON HILLS, IL

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
B•• W••••• A•••••••• L••	O•••• I••••••••• I•••	Oct 9, 2023	Jan 5, 2026	819	Firm change after gap	RIA to ibd
C••• F•••••••• S•••••••• L•••	B•• W••••• A•••••••• L••	Jun 30, 2023	Nov 9, 2016

Team moves

••• Locked

Team	Left	Joined	From	Kind
42132:164173:CA:2023-06-30	Jun 30, 2023	Nov 9, 2016	SANTA ANA, CA	Firm change after gap

Relationships

Registered with (4)

→ O•••• I••••••••• I•••Registered adviserregistration: current employment
Jan 5, 2026 to presentfactForm ADV
→ B•• W••••• A•••••••• L••Registered adviserregistration: previous registration
Nov 9, 2016 to Oct 9, 2023factForm ADV
→ C••• F•••••••• S•••••••• L•••Registered adviserregistration: previous registration
Oct 24, 2016 to Jun 30, 2023factForm ADV
→ U••• B•••••• A•••••••• L••

Dated events

Occurred
Oct 9, 2023
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Jun 30, 2023
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:9ccf1553-015f-b9cc-81c7-fcbc5bd5a7cf
First observed: Oct 4, 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.