DFX Intelligence

Data Factory

RIA / WealthAdvisorChartered Financial Consultant25 years in industry

JOHN HAN

Advisor at MARINER INDEPENDENT

Campbell, 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:ff21134d-7db8-9b07-fa5c-92b4c1f54859

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 7:04 PM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 1
On other graphs: 0
Observed: Aug 17, 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: MARINER INDEPENDENT
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jul 19, 2001earliest registration or exam on IAPD
Years in industry: 25derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 8
Current registrations: 1
Registered states: 2
Designations: Chartered Financial Consultant
Exams: S66|S65
First exam: Jul 19, 2001
First registration: Aug 17, 2001
Dual registered: no
Other names: JOHN QUOC HAN
IAPD individual key: 4388526

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
MARINER INDEPENDENT	Independent wealth	Oct 13, 2023	n/a	yes	Campbell, CA	Current employment
UNITED CAPITAL FINANCIAL ADVISORS	Independent wealth	Jul 18, 2014	Nov 9, 2023	no	SAN JOSE, CA\|CAMPBELL, CA\|SAN JOSE, CA\|LOS ALTOS, CA\|LOS ALTOS, CA\|Menlo Park, CA	Previous registration
BEACON POINTE WEALTH ADVISORS, LLC	Former SEC adviser	Sep 16, 2011	Jul 21, 2014	no	SAN JOSE, CA\|NEWPORT BEACH, CA	Previous registration
EXCELCIA FINANCIAL GROUP, LTD.	n/a	Jan 5, 2011	Oct 31, 2011	no	SAN JOSE, CA	Previous registration
BERTHEL FISHER & COMPANY FINANCIAL SERVICES, INC.	Bd affiliated wealth	May 27, 2010	Dec 3, 2010	no	SAN JOSE, CA\|Cedar Rapids, IA\|SAN JOSE, CA	Previous registration
EXCELCIA CAPITAL MANAGEMENT, LLC	n/a	Apr 2, 2008	May 25, 2010	no	SANTA CLARA, CA	Previous registration
AFA ADVISOR SERVICES LLC	n/a	Sep 6, 2006	Apr 29, 2010	no	SANTA CLARA, CA\|CALABASAS, CA\|SAN JOSE, CA	Previous registration
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Dec 1, 2004	Oct 20, 2005	no	SANTA CLARA , CA	Previous registration
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Aug 17, 2001	Oct 14, 2003	no	CAMPBELL, CA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
UNITED CAPITAL FINANCIAL ADVISORS	MARINER INDEPENDENT	Nov 9, 2023	Oct 13, 2023	-27	Firm change	RIA to RIA
BEACON POINTE WEALTH ADVISORS, LLC	UNITED CAPITAL FINANCIAL ADVISORS	Jul 21, 2014	Jul 18, 2014	-3	Firm change	Other
EXCELCIA FINANCIAL GROUP, LTD.	BEACON POINTE WEALTH ADVISORS, LLC	Oct 31, 2011	Sep 16, 2011	-45	Firm change after gap	Other
BERTHEL FISHER & COMPANY FINANCIAL SERVICES, INC.	EXCELCIA FINANCIAL GROUP, LTD.	Dec 3, 2010	Jan 5, 2011	33	Firm change	Other
EXCELCIA CAPITAL MANAGEMENT, LLC	BERTHEL FISHER & COMPANY FINANCIAL SERVICES, INC.	May 25, 2010	May 27, 2010	2	Firm change	Other
AFA ADVISOR SERVICES LLC	EXCELCIA CAPITAL MANAGEMENT, LLC	Apr 29, 2010	Apr 2, 2008	-757	Firm change after gap	Other
AMERIPRISE FINANCIAL SERVICES, LLC	AFA ADVISOR SERVICES LLC	Oct 20, 2005	Sep 6, 2006	321	Firm change	Other

Relationships

Registered with (8)

→ MARINER INDEPENDENTRegistered adviserregistration: current employment
Oct 13, 2023 to presentfactForm ADV
→ UNITED CAPITAL FINANCIAL ADVISORSRegistered adviserregistration: previous registration
Jul 18, 2014 to Nov 9, 2023factForm ADV
→ BEACON POINTE WEALTH ADVISORS, LLCRegistered adviserregistration: previous registration
Sep 16, 2011 to Jul 21, 2014factForm ADV
→ EXCELCIA FINANCIAL GROUP, LTD.Registered adviserregistration: previous registration
Jan 5, 2011 to Oct 31, 2011factForm ADV
→ BERTHEL FISHER & COMPANY FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
May 27, 2010 to Dec 3, 2010factForm ADV
→ EXCELCIA CAPITAL MANAGEMENT, LLCRegistered adviserregistration: previous registration
Apr 2, 2008 to May 25, 2010factForm ADV
→ AFA ADVISOR SERVICES LLCRegistered adviserregistration: previous registration
Sep 6, 2006 to Apr 29, 2010factForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Dec 1, 2004 to Oct 20, 2005factForm ADV

Dated events

Occurred
Nov 9, 2023
Advisor changed firm
John Han left United Capital Financial Advisors for Mariner Independent (registered 2023-10-13)
Form ADVobserved 5 days ago