DFX Intelligence

H•••• M•••••• B••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Planner|Chartered Financial Consultantdual registered (broker-dealer)40 years in industry

H•••• M•••••• B••••

Advisor at S••••• F••••••••

ORANGE, CA

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Search this name across graphsid dfx:ria:bd78f0ff-e94b-69c3-c414-7c02e70053af

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 9:41 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Oct 4, 1994 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: S••••• F••••••••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Feb 26, 1986earliest registration or exam on IAPD
Years in industry: 40derivedfrom the industry start date
Years at current firm: 19derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S••••• F••••••••	Independent wealth	Nov 28, 2006	n/a	yes	ORANGE, CA	Current employment
J• W• C••• A•••••••• I•••	Bd affiliated wealth	Jan 6, 2014	Dec 31, 2014	no	ORANGE, CA\|TAMPA, FL	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
J• W• C••• A•••••••• I•••	n/a	Dec 31, 2014	n/a	n/a	Departure no registered destination	Departure
L•• F•••••••• L••	S••••• F••••••••	Dec 21, 2011	Nov 28, 2006	-1,849

Relationships

Registered with (3)

→ S••••• F••••••••Registered adviserregistration: current employment
Nov 28, 2006 to presentfactForm ADV
→ J• W• C••• A•••••••• I•••Registered adviserregistration: previous registration
Jan 6, 2014 to Dec 31, 2014factForm ADV
→ L•• F•••••••• L••Registered adviserregistration: previous registration
Oct 4, 1994 to Dec 21, 2011factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:bd78f0ff-e94b-69c3-c414-7c02e70053af
First observed: Oct 4, 1994
Last observed: Sep 14, 2026 9 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.