DFX Intelligence
Reading the graph
Reading the graph
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Advisor at H•••• F•••••••• S••••••••• L••
TEMPLETON, CA
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
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.
| Firm | Class | Began | Ended | Current | Branch | Basis |
|---|---|---|---|---|---|---|
| H•••• F•••••••• S••••••••• L•• | State registered | Feb 12, 2026 | n/a | yes | TEMPLETON, CA | Current employment |
| P•••••• A•••••••• L•• | Independent wealth | Aug 10, 2017 | Feb 11, 2026 | no | NEWPORT BEACH, CA|Pasadena, CA |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| P•••••• A•••••••• L•• | H•••• F•••••••• S••••••••• L•• | Feb 11, 2026 | Feb 12, 2026 | 1 | Firm change | RIA to state RIA |
| P••••••••• A••••••• S••••••• L•• | P•••••• A•••••••• L•• | Nov 21, 2017 | Aug 10, 2017 |
| P••••••••• A••••••• S••••••• L•• | Former SEC adviser | May 20, 2013 | Nov 21, 2017 | no | PASADENA, CA|SANTA BARBARA, CA|Pasadena, CA|Portland, OR | Previous registration |
| M•• F•••••••• S•••••••• I••• | Former SEC adviser | Aug 5, 2011 | May 15, 2013 | no | PASADENA, CA | Previous registration |
| O•••• F•• I••• | Former SEC adviser | Oct 2, 2002 | Apr 28, 2011 | no | IRVINE, CA|IRVINE, CA | Previous registration |
| E•••••••• A•••••••• L•• | National bd RIA | Jul 24, 2000 | Sep 23, 2002 | no | IRVINE, CA | Previous registration |
| -103 |
| Firm change after gap |
| Other |
| M•• F•••••••• S•••••••• I••• | P••••••••• A••••••• S••••••• L•• | May 15, 2013 | May 20, 2013 | 5 | Firm change | Other |
| O•••• F•• I••• | M•• F•••••••• S•••••••• I••• | Apr 28, 2011 | Aug 5, 2011 | 99 | Firm change | Other |
| E•••••••• A•••••••• L•• | O•••• F•• I••• | Sep 23, 2002 | Oct 2, 2002 | 9 | Firm change | Other |