DFX Intelligence

H••••• W•••••• S•••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Planner|Chartered Financial Analyst13 years in industry

H••••• W•••••• S•••••••

Advisor at I••••••••• C•••••• M••••••••• L••

SAN FRANCISCO, CA | Portsmouth, NH

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Search this name across graphsid dfx:ria:bbaa06d6-2a45-a000-123d-276c662da2fd

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 2:09 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: May 27, 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: I••••••••• C•••••• M••••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Mar 1, 2013earliest registration or exam on IAPD
Years in industry: 13derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
I••••••••• C•••••• M••••••••• L••	Independent wealth	May 27, 2025	n/a	yes	SAN FRANCISCO, CA\|Portsmouth, NH	Current employment
L••• S••••• A•••••••	Former SEC adviser	Apr 21, 2021	Feb 20, 2025	no	PORTSMOUTH, NH

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
L••• S••••• A•••••••	I••••••••• C•••••• M••••••••• L••	Feb 20, 2025	May 27, 2025	96	Firm change	RIA to RIA
J•• F••••• O•••••	J•• W••••• M••••••••• L••	Apr 5, 2021	Sep 6, 2019

Team moves

••• Locked

Team	Left	Joined	From	Kind
288300:333157:NH:2025-02-20	Feb 20, 2025	May 27, 2025	PORTSMOUTH, NH	Firm change

Relationships

Registered with (6)

→ I••••••••• C•••••• M••••••••• L••Registered adviserregistration: current employment
May 27, 2025 to presentfactForm ADV
→ L••• S••••• A•••••••Registered adviserregistration: previous registration
Apr 21, 2021 to Feb 20, 2025factForm ADV
→ J•• F••••• O•••••Registered adviserregistration: previous registration
Sep 6, 2019 to Apr 5, 2021factForm ADV
→ J•• W••••• M••••••••• L••

Dated events

Occurred
Feb 20, 2025
Advisor changed firm
H••••• W•••••• S••••••• left L••• S••••• A••••••• for I••••••••• C•••••• M••••••••• L•• (registered 2025-05-27)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:bbaa06d6-2a45-a000-123d-276c662da2fd
First observed: May 27, 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.