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S•••••• H••••• L••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Planner10 years in industry

S•••••• H••••• L••••

Advisor at C••••••• P•••••••

Salinas, CA | Monterey, CA | OVERLAND PARK, KS

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:a5bf30d5-a730-2b1a-3a48-e1bd43281ccd

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 12:16 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Dec 9, 2016 to Sep 15, 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••••••• P•••••••
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Sep 1, 2016earliest registration or exam on IAPD
Years in industry: 10derivedfrom the industry start date
Years at current firm: 1derivedfrom 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
C••••••• P•••••••	Independent wealth	Apr 1, 2025	n/a	yes	OVERLAND PARK, KS\|Monterey, CA\|Salinas, CA	Current employment
M••••••• P•••••• W•••••• I•••	Former SEC adviser	May 17, 2019	Apr 21, 2025	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
M••••••• P•••••• W•••••• I•••	C••••••• P•••••••	Apr 21, 2025	Apr 1, 2025	-20	Firm change	RIA to RIA
U•• F•••••••• S••••••• I•••	M••••••• P•••••• W•••••• I•••	Apr 23, 2019

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
114572:105348:CA:2025-04-21	Apr 21, 2025	Apr 1, 2025	M•••••••, CA	Firm change

Relationships

Registered with (3)

→ C••••••• P•••••••Registered adviserregistration: current employment
Apr 1, 2025 to presentfactForm ADV
→ M••••••• P•••••• W•••••• I•••Registered adviserregistration: previous registration
May 17, 2019 to Apr 21, 2025factForm ADV
→ U•• F•••••••• S••••••• I•••Registered adviserregistration: previous registration
Dec 9, 2016 to Apr 23, 2019factForm ADV

Dated events

Occurred
Apr 21, 2025
Advisor changed firm
S•••••• H••••• L•••• left M••••••• P•••••• W•••••• I••• for C••••••• P••••••• (registered 2025-04-01)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:a5bf30d5-a730-2b1a-3a48-e1bd43281ccd
First observed: Dec 9, 2016
Last observed: Sep 15, 2026 7 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.