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

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RIA / WealthAdvisorCertified Financial Planner14 years in industry

H•••••• D••••• P••••

Advisor at M••••••

Walnut Creek, CA

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Search this name across graphsid dfx:ria:b19b6070-0e9e-b063-60c4-bb5fb4a5e45d

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 12:50 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Dec 18, 2013 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: M••••••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jun 22, 2012earliest registration or exam on IAPD
Years in industry: 14derivedfrom the industry start date
Years at current firm: 4derivedfrom 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
M••••••	Bd affiliated wealth	Jul 28, 2022	n/a	yes	Walnut Creek, CA	Current employment
C••• W••••• A•••••••	Former SEC adviser	Aug 11, 2020	Aug 4, 2022	no	WALNUT CREEK, CA

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
C••• W••••• A•••••••	M••••••	Aug 4, 2022	Jul 28, 2022	-7	Firm change	RIA to ibd
H••• S••••••••• •••• I•••	C••• W••••• A•••••••	Aug 13, 2020

Relationships

Registered with (4)

→ M••••••Registered adviserregistration: current employment
Jul 28, 2022 to presentfactForm ADV
→ C••• W••••• A•••••••Registered adviserregistration: previous registration
Aug 11, 2020 to Aug 4, 2022factForm ADV
→ H••• S••••••••• •••• I•••Registered adviserregistration: previous registration
Aug 12, 2019 to Aug 13, 2020factForm ADV
→ C•••••• S••••• • C••• I•••

Dated events

Occurred
Aug 4, 2022
Advisor changed firm
H•••••• D••••• P•••• left C••• W••••• A••••••• for Mariner (registered 2022-07-28)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b19b6070-0e9e-b063-60c4-bb5fb4a5e45d
First observed: Dec 18, 2013
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.