DFX Intelligence

S•••• M•••• W•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Planner20 years in industry

S•••• M•••• W•••••

Advisor at H••••••• F•••••••• A•••••••• L••

WATERVILLE, OH

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Search this name across graphsid dfx:ria:e36b7b26-36fe-6477-6949-860807718870

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 2:36 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Nov 18, 2005 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••••••• F•••••••• A•••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Nov 17, 2005earliest registration or exam on IAPD
Years in industry: 20derivedfrom the industry start date
Years at current firm: 16derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
H••••••• F•••••••• A•••••••• L••	Independent wealth	Sep 15, 2010	n/a	yes	WATERVILLE, OH	Current employment
O•• F••••••••	Former SEC adviser	Nov 26, 2007	Oct 19, 2010	no	CONCORD, CA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
O•• F••••••••	H••••••• F•••••••• A•••••••• L••	Oct 19, 2010	Sep 15, 2010	-34	Firm change after gap	Other
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	O•• F••••••••	Nov 20, 2007	Nov 26, 2007

Relationships

Registered with (3)

→ H••••••• F•••••••• A•••••••• L••Registered adviserregistration: current employment
Sep 15, 2010 to presentfactForm ADV
→ O•• F••••••••Registered adviserregistration: previous registration
Nov 26, 2007 to Oct 19, 2010factForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Registered adviserregistration: previous registration
Nov 18, 2005 to Nov 20, 2007factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:e36b7b26-36fe-6477-6949-860807718870
First observed: Nov 18, 2005
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.