DFX Intelligence

M•••• T••••• A••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)28 years in industry

M•••• T••••• A••••••

Advisor at R•• R•••••••• L••

••• Locked

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Search this name across graphsid dfx:ria:057bc302-0987-d794-b344-5ec30a410c53

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 1:49 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Jul 1, 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: R•• R•••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: May 4, 1998earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
R•• R•••••••• L••	Bd affiliated wealth	May 8, 2023	n/a	yes	San Francisco, CA\|NEW YORK, NY\|Tiburon, CA	Current employment
F•••••• I••••••••• M••••••••• I•••	Independent wealth	Aug 31, 2020	Aug 21, 2023	no	SOUTH WINDSOR, CT

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
F•••••• I••••••••• M••••••••• I•••	R•• R•••••••• L••	Aug 21, 2023	May 8, 2023	-105	Firm change after gap	RIA to ibd
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	F•••••• I••••••••• M••••••••• I•••	Aug 27, 2019	Aug 31, 2020

Relationships

Registered with (3)

→ R•• R•••••••• L••Registered adviserregistration: current employment
May 8, 2023 to presentfactForm ADV
→ F•••••• I••••••••• M••••••••• I•••Registered adviserregistration: previous registration
Aug 31, 2020 to Aug 21, 2023factForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Registered adviserregistration: previous registration
Jul 1, 2016 to Aug 27, 2019factForm ADV

Dated events

Occurred
Aug 21, 2023
Advisor changed firm
M•••• T••••• A•••••• left F•••••• I••••••••• M••••••••• I••• for R•• R•••••••• L•• (registered 2023-05-08)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:057bc302-0987-d794-b344-5ec30a410c53
First observed: Jul 1, 2016
Last observed: Sep 15, 2026 7 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.