DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)20 years in industry

L•• L•

Advisor at H••• S••••••••• •••• I•••

CUPERTINO, CA | Mountain View, CA

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Search this name across graphsid dfx:ria:abb89b94-27a6-263f-218c-59ab94402491

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:13 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Nov 23, 2005 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: Nov 21, 2005earliest registration or exam on IAPD
Years in industry: 20derivedfrom the industry start date
Years at current firm: 16derivedfrom 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	Feb 12, 2010	n/a	yes	Mountain View, CA\|CUPERTINO, CA	Current employment
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	Wirehouse	Jun 20, 2007	Feb 4, 2010	no	SAN FRANCISCO, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	H••• S••••••••• •••• I•••	Feb 4, 2010	Feb 12, 2010	8	Firm change	Other
W•••• F•••• I••••••••• L••	M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	Feb 6, 2007	Jun 20, 2007

Relationships

Registered with (3)

→ H••• S••••••••• •••• I•••Registered adviserregistration: current employment
Feb 12, 2010 to presentfactForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Registered adviserregistration: previous registration
Jun 20, 2007 to Feb 4, 2010factForm ADV
→ W•••• F•••• I••••••••• L••Registered adviserregistration: previous registration
Nov 23, 2005 to Feb 6, 2007factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:abb89b94-27a6-263f-218c-59ab94402491
First observed: Nov 23, 2005
Last observed: Sep 15, 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.