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

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RIA / WealthAdvisor35 years in industry

R•••••• M••••• H•••

Advisor at A••••••• F••••••••• L•••

San Diego, CA | FOLSOM, CA

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Search this name across graphsid dfx:ria:9f7d530f-0f82-3245-1f01-ca40f6f50205

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 11:02 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Jul 8, 1997 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: A••••••• F••••••••• L•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Nov 7, 1990earliest registration or exam on IAPD
Years in industry: 35derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
A••••••• F••••••••• L•••	Bd affiliated wealth	Nov 9, 2023	n/a	yes	FOLSOM, CA\|San Diego, CA	Current employment
H••• P•••••• W••••• A•••••••	Former SEC adviser	Apr 20, 2015	Dec 7, 2023	no

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
H••• P•••••• W••••• A•••••••	A••••••• F••••••••• L•••	Dec 7, 2023	Nov 9, 2023	-28	Firm change	RIA to ibd
M••••• S••••••	H••• P•••••• W••••• A•••••••	Apr 27, 2015

Relationships

Registered with (5)

→ A••••••• F••••••••• L•••Registered adviserregistration: current employment
Nov 9, 2023 to presentfactForm ADV
→ H••• P•••••• W••••• A•••••••Registered adviserregistration: previous registration
Apr 20, 2015 to Dec 7, 2023factForm ADV
→ M••••• S••••••Registered adviserregistration: previous registration
Jun 1, 2009 to Apr 27, 2015factForm ADV
→ M••••• S•••••• • C•• L••Registered adviser

Dated events

Occurred
Dec 7, 2023
Advisor changed firm
R•••••• M••••• H••• left H••• P•••••• W••••• A••••••• for A••••••• F••••••••• L••• (registered 2023-11-09)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:9f7d530f-0f82-3245-1f01-ca40f6f50205
First observed: Jul 8, 1997
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.