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D•••• T••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)16 years in industry

D•••• T••

Advisor at H••• S••••••••• •••• I•••

San Francisco, CA | Buffalo, NY | San Mateo, CA

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Search this name across graphsid dfx:ria:a9afdc97-ad78-d9d6-e325-f6251f9f7034

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 11:29 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Dec 7, 2013 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: H••• S••••••••• •••• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Oct 1, 2009earliest registration or exam on IAPD
Years in industry: 16derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
H••• S••••••••• •••• I•••	Bd affiliated wealth	Mar 23, 2026	n/a	yes	San Mateo, CA\|Buffalo, NY\|San Francisco, CA	Current employment
W•••• F•••• A•••••••	Wirehouse	Mar 17, 2025	Mar 17, 2026	no	PALO ALTO, CA\|REDWOOD CITY, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
W•••• F•••• A•••••••	H••• S••••••••• •••• I•••	Mar 17, 2026	Mar 23, 2026	6	Firm change	Wirehouse to ibd

Relationships

Registered with (2)

→ H••• S••••••••• •••• I•••Registered adviserregistration: current employment
Mar 23, 2026 to presentfactForm ADV
→ W•••• F•••• A•••••••Registered adviserregistration: previous registration
Mar 17, 2025 to Mar 17, 2026factForm ADV

Dated events

Occurred
Mar 17, 2026
Advisor changed firm
D•••• T•• left W•••• F•••• A••••••• for H••• S••••••••• •••• I••• (registered 2026-03-23)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:a9afdc97-ad78-d9d6-e325-f6251f9f7034
First observed: Dec 7, 2013
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.