DFX Intelligence

C••••••••• R••• T•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)12 years in industry

C••••••••• R••• T•••••

Advisor at G••••• R••••••••• P••••••• L••

SAN RAFAEL, CA | San Clemente, CA

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Search this name across graphsid dfx:ria:c883c85e-3131-9a44-f6df-295896dadd49

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 1:16 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 4
On other graphs: 0
Observed: Nov 12, 2014 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: G••••• R••••••••• P••••••• L••
Current firm class: institutional managerderived
Book size: not public••• Locked
Industry start: Aug 1, 2014earliest registration or exam on IAPD
Years in industry: 12derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
G••••• R••••••••• P••••••• L••	Institutional manager	Apr 27, 2026	n/a	yes	San Clemente, CA\|SAN RAFAEL, CA	Current employment
H•• I••••••••• P•••••••• L••	Independent wealth	Jan 6, 2026	Apr 24, 2026	no	AUSTIN, TX\|Newport Beach, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
H•• I••••••••• P•••••••• L••	G••••• R••••••••• P••••••• L••	Apr 24, 2026	Apr 27, 2026	3	Firm change	Other
H•• I••••••••• A•••••••• I••	H•• I••••••••• P•••••••• L••	Mar 30, 2026	Jan 6, 2026

Team moves

••• Locked

Team	Left	Joined	From	Kind
164600:307956:NE:2026-03-30	Mar 30, 2026	Jan 6, 2026	OMAHA, NE	Firm change after gap

Relationships

Registered with (6)

→ G••••• R••••••••• P••••••• L••Registered adviserregistration: current employment
Apr 27, 2026 to presentfactForm ADV
→ H•• I••••••••• P•••••••• L••Registered adviserregistration: previous registration
Jan 6, 2026 to Apr 24, 2026factForm ADV
→ H•• I••••••••• A•••••••• I••Registered adviserregistration: previous registration
Sep 9, 2024 to Mar 30, 2026factForm ADV
→ C••• L••

Dated events

Occurred
Apr 24, 2026
Advisor changed firm
C••••••••• R••• T••••• left H•• I••••••••• P•••••••• L•• for G••••• R••••••••• P••••••• L•• (registered 2026-04-27)
Form ADVobserved 7 days ago
Occurred
Mar 30, 2026
Advisor changed firm
C••••••••• R••• T••••• left H•• I••••••••• A•••••••• I•• for H•• I••••••••• P•••••••• L•• (registered 2026-01-06)
Form ADVobserved 7 days ago
Occurred
Jul 24, 2024
Advisor changed firm
C••••••••• R••• T••••• left C••• L•• for H•• I••••••••• A•••••••• I•• (registered 2024-09-09)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:c883c85e-3131-9a44-f6df-295896dadd49
First observed: Nov 12, 2014
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.