DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

Registered advisor

Paula Jane Hart

Guardian Financial Partners, LLCmixed wealthIrvine, Ca dual registrantIAPD 3198068

Feed of 09/17/2026

Also filed as Paula Jane Humphreys

At current firm

2 y

since May 15, 2024

In the industry

27 y

since May 24, 1999 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

Guardian Financial Partners, LLC mixed wealth current
since Sep 16, 2026 · Irvine, Ca
LPL Financial LLC BD affiliated current
since May 15, 2024 · Irvine, Ca
Steelpeak Wealth, LLC independent RIA
May 1, 2023 to May 16, 2024 · Los Angeles, Ca
Seia BD affiliated
Aug 4, 2017 to May 1, 2023 · Newport Beach, Ca
Wells Fargo Advisors wirehouse
Oct 23, 2009 to Sep 20, 2013 · Laguna Beach, Ca
Morgan Stanley wirehouse
Jun 1, 2009 to Oct 29, 2009 · Newport Beach, Ca
Morgan Stanley & Co. LLC unclassified
May 14, 2007 to Jun 1, 2009 · Newport Beach, Ca

Moves

a registration end followed by a registration begin elsewhere

Steelpeak Wealth, LLC to LPL Financial LLC
left May 16, 2024, registered May 15, 2024 (-1 days) · RIA to affiliated broker-dealer or bank
Seia to Steelpeak Wealth, LLC
left May 1, 2023, registered May 1, 2023 (0 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
Wells Fargo Advisors to Seia
left Sep 20, 2013, registered Aug 4, 2017 (1414 days) · Other
Morgan Stanley to Wells Fargo Advisors
left Oct 29, 2009, registered Oct 23, 2009 (-6 days) · Wirehouse to wirehouse
Morgan Stanley & Co. LLC to Morgan Stanley
left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move

Signals

Paula Jane Hart left Steelpeak Wealth, Llc for Lpl Financial Llc (registered 2024-05-15)
May 16, 2024 · Advisor changed firm · fact
Paula Jane Hart left Seia for Steelpeak Wealth, Llc (registered 2023-05-01)
May 1, 2023 · Advisor changed firm · fact

Transition signals

Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.

Provenance

Source: IAPD individual compilation feedreportedadviserinfo.sec.gov
Firm class: Wealth manager with institutional or fund businessderived
Years in industry: 27derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address