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

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RIA / WealthAdvisordual registered (broker-dealer)18 years in industry

A••••• A••••

Advisor at M•••••• L••••• P•••••• F••••• • S•••• I•••••••••

SAN FRANCISCO, CA

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Search this name across graphsid dfx:ria:0686e291-a7cd-ad10-f74a-5e2bc5c737e4

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 11:31 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Dec 3, 2007 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: M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
Current firm class: wirehousederived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Dec 3, 2007earliest registration or exam on IAPD
Years in industry: 18derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms

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
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	Wirehouse	May 14, 2021	n/a	yes	SAN FRANCISCO, CA	Current employment
S•••• C••••••• L•	Independent wealth	May 15, 2017	Aug 16, 2018	no

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
S•••• C••••••• L•	M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	Aug 16, 2018	May 14, 2021	1,002	Firm change after gap	RIA to wirehouse
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	S•••• C••••••• L•	May 18, 2017

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
7691:285645:CA:2017-05-15	May 18, 2017	May 15, 2017	SAN FRANCISCO, CA	Firm change

Relationships

Registered with (3)

→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Registered adviserregistration: previous registration
Apr 23, 2008 to May 18, 2017factForm ADV
→ S•••• C••••••• L•Registered adviserregistration: previous registration
May 15, 2017 to Aug 16, 2018factForm ADV
→ M••••• S•••••• • C•• L••Registered adviserregistration: previous registration
Dec 3, 2007 to Apr 25, 2008factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:0686e291-a7cd-ad10-f74a-5e2bc5c737e4
First observed: Dec 3, 2007
Last observed: Sep 14, 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.