DFX Intelligence

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

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RIA / WealthAdvisor43 years in industry

H••••• B••••• P•••••

Advisor at S••••••• A•••• M••••••• L•••••

Pasadena, CA

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Search this name across graphsid dfx:ria:cb5ba8d8-3e00-7000-3342-f7818c3afcfa

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 9:42 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Aug 29, 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••••••• A•••• M••••••• L•••••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Jan 10, 1983earliest registration or exam on IAPD
Years in industry: 43derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S••••••• A•••• M••••••• L•••••	Independent wealth	Jan 5, 2026	n/a	yes	Pasadena, CA	Current employment
H•••• S••••• W••••• A•••••••	Former SEC adviser	May 23, 2016	Jan 2, 2020	no	PASADENA, CA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
H•••• S••••• W••••• A•••••••	S••••••• A•••• M••••••• L•••••	Jan 2, 2020	Jan 5, 2026	2,195	Firm change after gap	RIA to RIA
N••••• D••••• W•••••	W•••••• I••••••••• S•••••••••	Jun 1, 2016	Jul 26, 2007

Team moves

••• Locked

Team	Left	Joined	From	Kind
167343:109939:CA:2020-01-02	Jan 2, 2020	Jan 5, 2026	PASADENA, CA	Firm change after gap

Relationships

Registered with (4)

→ S••••••• A•••• M••••••• L•••••Registered adviserregistration: current employment
Jan 5, 2026 to presentfactForm ADV
→ H•••• S••••• W••••• A•••••••Registered adviserregistration: previous registration
May 23, 2016 to Jan 2, 2020factForm ADV
→ N••••• D••••• W•••••Registered adviserregistration: previous registration
Aug 29, 1994 to Jun 1, 2016factForm ADV
→ W•••••• I••••••••• S•••••••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:cb5ba8d8-3e00-7000-3342-f7818c3afcfa
First observed: Aug 29, 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.