DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)33 years in industry

S•••••• Y•• H•• C••••

Advisor at T••••••••• F•••••••• A•••••••• L••

Santa Clara, CA

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Search this name across graphsid dfx:ria:d23317dc-f36a-d83a-0b7f-317155f1c388

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 9:39 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Sep 9, 2008 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: T••••••••• F•••••••• A•••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Feb 18, 1993earliest registration or exam on IAPD
Years in industry: 33derivedfrom the industry start date
Years at current firm: 14derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
T••••••••• F•••••••• A•••••••• L••	Bd affiliated wealth	Jan 6, 2012	n/a	yes	Santa Clara, CA	Current employment
I••••••••• A••••••• I••••••••• I•••	n/a	Sep 9, 2008	Jan 6, 2012	no	SANTA CLARA, CA\|FLUSHING, NY

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
I••••••••• A••••••• I••••••••• I•••	T••••••••• F•••••••• A•••••••• L••	Jan 6, 2012	Jan 6, 2012	0	Bulk transfer	Other

Relationships

Registered with (2)

→ T••••••••• F•••••••• A•••••••• L••Registered adviserregistration: current employment
Jan 6, 2012 to presentfactForm ADV
→ I••••••••• A••••••• I••••••••• I•••Registered adviserregistration: previous registration
Sep 9, 2008 to Jan 6, 2012factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:d23317dc-f36a-d83a-0b7f-317155f1c388
First observed: Sep 9, 2008
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.