DFX Intelligence

D•••• L••• G•••••: advisor on the ria / wealth management graph | DFX Data Factory

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

D•••• L••• G•••••

Advisor at M•• I•••••••• S•••••••• L••

SCOTTSDALE, AZ | SPRINGFIELD, MA

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Search this name across graphsid dfx:ria:06b079ff-fc2b-a25a-dbe7-1262945e8274

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 1:25 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 0
On other graphs: 0
Observed: Mar 1, 2010 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: M•• I•••••••• S•••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Jun 11, 1998earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 6

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
M•• I•••••••• S•••••••• L••	Bd affiliated wealth	Apr 22, 2021	n/a	yes	SCOTTSDALE, AZ\|SPRINGFIELD, MA	Current employment
S•••••••• F••••••••• I•••	Former SEC adviser	May 19, 2020	Apr 8, 2021	no	SCOTTSDALE, AZ

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
O•••• W•••••• I•••	S•••••••• F••••••••• I•••	Apr 8, 2021	May 19, 2020	-324	Channel change	Ibd to ibd
W••••••• F•••••••• S•••••••• I•••	F•• S••••••••• C•••••••••	Apr 8, 2021	May 19, 2020

Relationships

Registered with (6)

→ M•• I•••••••• S•••••••• L••Registered adviserregistration: previous registration
Jan 4, 2016 to May 22, 2020factForm ADV
→ S•••••••• F••••••••• I•••Registered adviserregistration: previous registration
May 19, 2020 to Apr 8, 2021factForm ADV
→ O•••• W•••••• I•••Registered adviserregistration: previous registration
May 19, 2020 to Apr 8, 2021factForm ADV
→ W••••••• F•••••••• S•••••••• I•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:06b079ff-fc2b-a25a-dbe7-1262945e8274
First observed: Mar 1, 2010
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.