DFX Intelligence

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

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RIA / WealthAdvisor29 years in industry

C•••• M•••••• H••••••

Advisor at S•••••••• L••

SAN MATEO, CA

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Search this name across graphsid dfx:ria:9fef6177-4b13-2338-d408-69212c9da1e3

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:48 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Nov 14, 2002 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: S•••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Dec 11, 1996earliest registration or exam on IAPD
Years in industry: 29derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S•••••••• L••	Independent wealth	Jan 1, 2025	n/a	yes	SAN MATEO, CA	Current employment
H••••• • A••••• C•••••• M••••••••• I•••	n/a	Nov 14, 2002	Dec 1, 2003	no	SAN FRANCISCO, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
H••••• • A••••• C•••••• M••••••••• I•••	S•••••••• L••	Dec 1, 2003	Jan 1, 2025	7,702	Firm change after gap	Other

Relationships

Registered with (2)

→ S•••••••• L••Registered adviserregistration: current employment
Jan 1, 2025 to presentfactForm ADV
→ H••••• • A••••• C•••••• M••••••••• I•••Registered adviserregistration: previous registration
Nov 14, 2002 to Dec 1, 2003factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:9fef6177-4b13-2338-d408-69212c9da1e3
First observed: Nov 14, 2002
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.