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C•••• P••••• B•••••••••: advisor on the ria / wealth management graph | DFX Data Factory

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

C•••• P••••• B•••••••••

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

Alameda, CA | Pleasanton, CA | Walnut Creek, CA

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Search this name across graphsid dfx:ria:1afb4dd2-a09f-a537-98e9-382380f17dd6

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 12:31 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Mar 11, 2008 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 publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Oct 1, 2007earliest registration or exam on IAPD
Years in industry: 18derivedfrom the industry start date
Years at current firm: 9derivedfrom 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•• I•••••••• S•••••••• L••	Bd affiliated wealth	Mar 25, 2017	n/a	yes	Pleasanton, CA\|Walnut Creek, CA\|Alameda, CA	Current employment
M•• F•••••••• S•••••••• I•••	Former SEC adviser	Mar 11, 2008	Mar 25, 2017	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
M•• F•••••••• S•••••••• I•••	M•• I•••••••• S•••••••• L••	Mar 25, 2017	Mar 25, 2017	0	Bulk transfer	Other

Relationships

Registered with (2)

→ M•• I•••••••• S•••••••• L••Registered adviserregistration: current employment
Mar 25, 2017 to presentfactForm ADV
→ M•• F•••••••• S•••••••• I•••Registered adviserregistration: previous registration
Mar 11, 2008 to Mar 25, 2017factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:1afb4dd2-a09f-a537-98e9-382380f17dd6
First observed: Mar 11, 2008
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.