DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)34 years in industry

H••••• R••••• G••••••

Advisor at P•••••••• S••••••••• I•••

COTATI, CA

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Search this name across graphsid dfx:ria:d78b2496-0c39-ae5a-9b51-56998886f1f4

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 3:43 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Oct 23, 2001 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: P•••••••• S••••••••• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Aug 28, 1992earliest registration or exam on IAPD
Years in industry: 34derivedfrom the industry start date
Years at current firm: 11derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
P•••••••• S••••••••• I•••	Bd affiliated wealth	Mar 5, 2015	n/a	yes	COTATI, CA	Current employment
I••••••••• A••••••• G•••• C•••	Former SEC adviser	Feb 21, 2003	Jul 7, 2006	no	SONOMA, CA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
O•••• F•• I•••	I••••••••• A••••••• G•••• C•••	Jan 15, 2015	Feb 21, 2003	-4,346	Firm change after gap	Other
I••••••••• A••••••• G•••• C•••	P•••••••• S••••••••• I•••	Jul 7, 2006	Mar 5, 2015

Relationships

Registered with (3)

→ P•••••••• S••••••••• I•••Registered adviserregistration: current employment
Mar 5, 2015 to presentfactForm ADV
→ O•••• F•• I•••Registered adviserregistration: previous registration
Oct 23, 2001 to Jan 15, 2015factForm ADV
→ I••••••••• A••••••• G•••• C•••Registered adviserregistration: previous registration
Feb 21, 2003 to Jul 7, 2006factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:d78b2496-0c39-ae5a-9b51-56998886f1f4
First observed: Oct 23, 2001
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.