DFX Intelligence

M•••••• W•••••• S••••••••: advisor on the ria / wealth management graph | DFX Data Factory

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)31 years in industry

M•••••• W•••••• S••••••••

Advisor at C••••••••• F•••••••• N••••••

Tempe, AZ

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:1816ad01-5c24-3759-ce47-487e531b3b0d

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 1:51 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Sep 27, 2011 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: C••••••••• F•••••••• N••••••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Oct 25, 1994earliest registration or exam on IAPD
Years in industry: 31derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••••••••• F•••••••• N••••••	National bd RIA	Aug 21, 2019	n/a	yes	Tempe, AZ\|Tempe, AZ	Current employment
A••••••••• F•••••••• S•••••••• L••	National bd RIA	Sep 27, 2011	Aug 21, 2019	no	TEMPE, AZ\|TEMPE, AZ

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
A••••••••• F•••••••• S•••••••• L••	C••••••••• F•••••••• N••••••	Aug 21, 2019	Aug 21, 2019	0	Firm change	Ibd to ibd

Team moves

••• Locked

Team	Left	Joined	From	Kind
6363:8032:AZ:2019-08-21	Aug 21, 2019	Aug 21, 2019	TEMPE, AZ	Firm change

Relationships

Registered with (2)

→ C••••••••• F•••••••• N••••••Registered adviserregistration: current employment
Aug 21, 2019 to presentfactForm ADV
→ A••••••••• F•••••••• S•••••••• L••Registered adviserregistration: previous registration
Sep 27, 2011 to Aug 21, 2019factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:1816ad01-5c24-3759-ce47-487e531b3b0d
First observed: Sep 27, 2011
Last observed: Sep 14, 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.