DFX Intelligence

H•••• M• W••••••••: 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)10 years in industry

H•••• M• W••••••••

Advisor at S•••••••• I••••••••• G••••• L••

NEWPORT BEACH, CA | Seal Beach, 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:b1d2baba-0ac0-1171-db7c-87f8cd4d5f8c

Data as of Sep 19, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:06 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Aug 1, 2016 to Sep 19, 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: S•••••••• I••••••••• G••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Aug 1, 2016earliest registration or exam on IAPD
Years in industry: 10derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Current registrations: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S•••••••• I••••••••• G••••• L••	Independent wealth	Sep 18, 2026	n/a	yes	NEWPORT BEACH, CA	Current employment
C•••••• S••••• • C••• I•••	National bd RIA	Sep 13, 2024	n/a	yes	Seal Beach, CA	Current employment

Relationships

Registered with (2)

→ S•••••••• I••••••••• G••••• L••Registered adviserregistration: current employment
Sep 18, 2026 to presentfactForm ADV
→ C•••••• S••••• • C••• I•••Registered adviserregistration: current employment
Sep 13, 2024 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b1d2baba-0ac0-1171-db7c-87f8cd4d5f8c
First observed: Aug 1, 2016
Last observed: Sep 19, 2026 4 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.