DFX Intelligence

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

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthAdvisordual registered (broker-dealer)31 years in industry

D•••• L••••••• H•••••

Advisor at C•••••• P•••• F•••••••• A•••••••• L••

SACRAMENTO, CA

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:ac04a121-fe6c-b9ff-b3bc-fd321f42bb61

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 1:21 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Jul 2, 2003 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: C•••••• P•••• F•••••••• A•••••••• L••
Current firm class: former SEC adviserderived
Book size: not public••• Locked
Industry start: Sep 30, 1994earliest registration or exam on IAPD
Years in industry: 31derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C•••••• P•••• F•••••••• A•••••••• L••	Former SEC adviser	Jan 1, 2025	n/a	yes	SACRAMENTO, CA	Current employment
L•• F•••••••• L••	Bd affiliated wealth	Jun 10, 2004	Oct 18, 2013	no	GOLD RIVER, CA\|SAN MATEO, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
L•• F•••••••• L••	C•••••• P•••• F•••••••• A•••••••• L••	Oct 18, 2013	Jan 1, 2025	4,093	Firm change after gap	Other
V•••• F•••••••• A•••••••• I•••	L•• F•••••••• L••	Jun 14, 2004	Jun 10, 2004

Relationships

Registered with (3)

→ C•••••• P•••• F•••••••• A•••••••• L••Registered adviserregistration: current employment
Jan 1, 2025 to presentfactForm ADV
→ L•• F•••••••• L••Registered adviserregistration: previous registration
Jun 10, 2004 to Oct 18, 2013factForm ADV
→ V•••• F•••••••• A•••••••• I•••Registered adviserregistration: previous registration
Jul 2, 2003 to Jun 14, 2004factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:ac04a121-fe6c-b9ff-b3bc-fd321f42bb61
First observed: Jul 2, 2003
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.