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

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RIA / WealthAdvisor35 years in industry

H••••• H•••• H••••

Advisor at H••••

SARATOGA, CA

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Search this name across graphsid dfx:ria:c5cff1cc-07f8-ee62-11a2-b6d020bc9e0c

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:39 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Jan 11, 2006 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••••
Current firm class: state registeredderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Dec 1, 1990earliest registration or exam on IAPD
Years in industry: 35derivedfrom the industry start date
Years at current firm: 8derivedfrom the current registration's begin date
Prior firms: 2

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
H••••	State registered	Sep 20, 2018	n/a	yes	SARATOGA, CA	Current employment
D•••••• I•••	n/a	Sep 8, 2010	Aug 29, 2018	no	n/a

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
D•••••• I•••	H••••	Aug 29, 2018	Sep 20, 2018	22	Firm change	Other
Q•••• C•••••• S••••••••• I•••	D•••••• I•••	May 12, 2006	Sep 8, 2010

Relationships

Registered with (3)

→ H••••Registered adviserregistration: current employment
Sep 20, 2018 to presentfactForm ADV
→ D•••••• I•••Registered adviserregistration: previous registration
Sep 8, 2010 to Aug 29, 2018factForm ADV
→ Q•••• C•••••• S••••••••• I•••Registered adviserregistration: previous registration
Jan 11, 2006 to May 12, 2006factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:c5cff1cc-07f8-ee62-11a2-b6d020bc9e0c
First observed: Jan 11, 2006
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.