DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)17 years in industry

M•••••• L•• R••••••••

Advisor at M••••••••• C••••••• L••

NEWPORT BEACH, CA

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Search this name across graphsid dfx:ria:1097844f-9036-ccd3-3416-87c824bbe787

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:41 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Nov 17, 2008 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••••••••• C••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Nov 14, 2008earliest registration or exam on IAPD
Years in industry: 17derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
M••••••••• C••••••• L••	Independent wealth	Aug 29, 2019	n/a	yes	NEWPORT BEACH, CA	Current employment
T••••••••• F•••••••• A•••••••• L••	Bd affiliated wealth	Aug 29, 2014	Aug 20, 2019	no	BAKERSFIELD, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
T••••••••• F•••••••• A•••••••• L••	M••••••••• C••••••• L••	Aug 20, 2019	Aug 29, 2019	9	Firm change	Ibd to RIA
H•• A••••••• S••••••• L••	T••••••••• F•••••••• A•••••••• L••	Aug 12, 2014	Aug 29, 2014

Relationships

Registered with (6)

→ M••••••••• C••••••• L••Registered adviserregistration: current employment
Aug 29, 2019 to presentfactForm ADV
→ T••••••••• F•••••••• A•••••••• L••Registered adviserregistration: previous registration
Aug 29, 2014 to Aug 20, 2019factForm ADV
→ H•• A••••••• S••••••• L••Registered adviserregistration: previous registration
Jul 16, 2014 to Aug 12, 2014factForm ADV
→ J••• M••••• S••••••••• L••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:1097844f-9036-ccd3-3416-87c824bbe787
First observed: Nov 17, 2008
Last observed: Sep 14, 2026 9 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.