DFX Intelligence

D••• V••••• S•••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisor42 years in industry

D••• V••••• S•••••••

Advisor at H••••••••• C•••••• M•••••••••

NEWPORT BEACH, CA

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Search this name across graphsid dfx:ria:f5e78a5a-4b3e-8c42-86f0-9057323a277b

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 9:03 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Mar 30, 2004 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••••••••• C•••••• M•••••••••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Jul 27, 1984earliest registration or exam on IAPD
Years in industry: 42derivedfrom the industry start date
Years at current firm: 27derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
H••••••••• C•••••• M•••••••••	Independent wealth	May 20, 1999	n/a	yes	NEWPORT BEACH, CA	Current employment
D••••• E•••• P•••••••	Former SEC adviser	Mar 30, 2004	Jun 18, 2019	no	NEWPORT BEACH, CA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
D••••• E•••• P•••••••	n/a	Jun 18, 2019	n/a	n/a	Departure no registered destination	Departure

Relationships

Registered with (2)

→ H••••••••• C•••••• M•••••••••Registered adviserregistration: current employment
May 20, 1999 to presentfactForm ADV
→ D••••• E•••• P•••••••Registered adviserregistration: previous registration
Mar 30, 2004 to Jun 18, 2019factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:f5e78a5a-4b3e-8c42-86f0-9057323a277b
First observed: Mar 30, 2004
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.