DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)16 years in industry

R••••• E•••••••• H•••••

Advisor at S•••••• N••••••• • C••••••• I•••••••••

NEWPORT BEACH, CA

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Search this name across graphsid dfx:ria:e7a24eba-b82b-d899-fc13-5e0c2848dcd3

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 1:56 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Nov 10, 2009 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•••••• N••••••• • C••••••• I•••••••••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Nov 9, 2009earliest registration or exam on IAPD
Years in industry: 16derivedfrom the industry start date
Years at current firm: 10derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S•••••• N••••••• • C••••••• I•••••••••	National bd RIA	Jun 9, 2016	n/a	yes	NEWPORT BEACH, CA	Current employment
R•• C•••••• M••••••• L••	National bd RIA	Nov 10, 2009	Jun 22, 2016	no	BOULDER, CO\|NEWPORT BEACH, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
R•• C•••••• M••••••• L••	S•••••• N••••••• • C••••••• I•••••••••	Jun 22, 2016	Jun 9, 2016	-13	Firm change	Ibd to ibd

Team moves

••• Locked

Team	Left	Joined	From	Kind
31194:793:CA:2016-06-22	Jun 22, 2016	Jun 9, 2016	NEWPORT BEACH, CA	Firm change

Relationships

Registered with (2)

→ S•••••• N••••••• • C••••••• I•••••••••Registered adviserregistration: current employment
Jun 9, 2016 to presentfactForm ADV
→ R•• C•••••• M••••••• L••Registered adviserregistration: previous registration
Nov 10, 2009 to Jun 22, 2016factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:e7a24eba-b82b-d899-fc13-5e0c2848dcd3
First observed: Nov 10, 2009
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.