DFX Intelligence

R••• I•••• H•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisor33 years in industry

R••• I•••• H•••••

Advisor at H•• A••••••• S••••••• L••

SIMI VALLEY, CA | Long Beach, CA

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Search this name across graphsid dfx:ria:b24ca5a6-322f-2084-4694-3314bf8e31ce

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:48 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Jun 26, 2017 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: H•• A••••••• S••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Oct 16, 1992earliest registration or exam on IAPD
Years in industry: 33derivedfrom the industry start date
Years at current firm: 12derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
H•• A••••••• S••••••• L••	Independent wealth	Oct 11, 2013	n/a	yes	SIMI VALLEY, CA\|Long Beach, CA	Current employment
C••••• A•••••• N••••••• L••	Former SEC adviser	Jun 26, 2017	Oct 29, 2019	no	OXNARD, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C••••• A•••••• N••••••• L••	n/a	Oct 29, 2019	n/a	n/a	Departure no registered destination	Departure

Relationships

Registered with (2)

→ H•• A••••••• S••••••• L••Registered adviserregistration: current employment
Oct 11, 2013 to presentfactForm ADV
→ C••••• A•••••• N••••••• L••Registered adviserregistration: previous registration
Jun 26, 2017 to Oct 29, 2019factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b24ca5a6-322f-2084-4694-3314bf8e31ce
First observed: Jun 26, 2017
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.