DFX Intelligence

M•••••• L•••••• B••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)24 years in industry

M•••••• L•••••• B••••••

Advisor at A••••••••• F•••••••• S•••••••• L••

••• Locked

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Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 6:31 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Jun 16, 2016 to Sep 15, 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: A••••••••• F•••••••• S•••••••• L••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Mar 1, 2002earliest registration or exam on IAPD
Years in industry: 24derivedfrom the industry start date
Years at current firm: 8derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
A••••••••• F•••••••• S•••••••• L••	National bd RIA	May 15, 2018	n/a	yes	Minneapolis, MN\|TROY, MI\|Livonia, MI	Current employment
S•••••••• I••••••••• M•••••••••	Former SEC adviser	Jun 16, 2016	Mar 8, 2018	no	SAINT LOUIS, MO

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
S•••••••• I••••••••• M•••••••••	A••••••••• F•••••••• S•••••••• L••	Mar 8, 2018	May 15, 2018	68	Firm change	Ibd to ibd

Team moves

••• Locked

Team	Left	Joined	From	Kind
169988:6363:MO:2018-03-08	Mar 8, 2018	May 15, 2018	SAINT LOUIS, MO	Firm change

Relationships

Registered with (2)

→ A••••••••• F•••••••• S•••••••• L••Registered adviserregistration: current employment
May 15, 2018 to presentfactForm ADV
→ S•••••••• I••••••••• M•••••••••Registered adviserregistration: previous registration
Jun 16, 2016 to Mar 8, 2018factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Jun 16, 2016
Last observed: Sep 15, 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.