P••• Y•• L•

Advisor at H••• F•••••••• S••••••• A•• I••••••••• A••••••

YORBA LINDA, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:f1839158-57b6-fa21-18a2-6c0b194dad3f

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:10 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 0
On other graphs: 0
Observed: Jun 11, 2003 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•••••••• S••••••• A•• I••••••••• A••••••
Current firm class: state registeredderived
Book size: not public••• Locked
Industry start: Sep 10, 1991earliest registration or exam on IAPD
Years in industry: 35derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 6

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
H••• F•••••••• S••••••• A•• I••••••••• A••••••	State registered	Sep 25, 2025	n/a	yes	YORBA LINDA, CA	Current employment
U•••••••• F•••••••• S••••••• A•• I••••••••• A••••••	FORMER_SEC_A••••••	Apr 7, 2020	Mar 26, 2021	no	WALNUT, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
U•••••••• F•••••••• S••••••• A•• I••••••••• A••••••	H••• F•••••••• S••••••• A•• I••••••••• A••••••	Mar 26, 2021	Sep 25, 2025	1,644	Firm change after gap	Other
I•••	U•••••••• F•••••••• S••••••• A•• I••••••••• A••••••	Jan 5, 2018

Relationships

Registered with (6)

→ H••• F•••••••• S••••••• A•• I••••••••• A••••••Registered adviserregistration: previous registration
Nov 26, 2012 to Aug 29, 2016factForm ADV
→ U•••••••• F•••••••• S••••••• A•• I••••••••• A••••••Registered adviserregistration: previous registration
Apr 7, 2020 to Mar 26, 2021factForm ADV
→ I•••Registered adviserregistration: previous registration
Sep 1, 2016 to Jan 5, 2018factForm ADV
→ K•• W••• I••••••••• L••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:f1839158-57b6-fa21-18a2-6c0b194dad3f
First observed: Jun 11, 2003
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.