DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Planner33 years in industry

M••• L•• M•••••••••

Advisor at S••••••• R••••••• • I••••••••• M•••••••••

S•••••••, CA

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Search this name across graphsid dfx:ria:1dd82a86-6c21-8422-c970-207ea16020e5

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 10:44 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Jan 14, 2002 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: S••••••• R••••••• • I••••••••• M•••••••••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Mar 19, 1993earliest registration or exam on IAPD
Years in industry: 33derivedfrom the industry start date
Years at current firm: 12derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S••••••• R••••••• • I••••••••• M•••••••••	Independent wealth	Mar 11, 2014	n/a	yes	S•••••••, CA	Current employment
C•••••••• G••••• M•••••• I•••	Bd affiliated wealth	May 29, 2007	Oct 24, 2013	no	PALO ALTO, CA\|PALO ALTO, CA\|PALO ALTO, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C•••••••• G••••• M•••••• I•••	S••••••• R••••••• • I••••••••• M•••••••••	Oct 24, 2013	Mar 11, 2014	138	Firm change	Other
C••••••• I••••••••• S•••••••	C•••••••• G••••• M•••••• I•••	May 29, 2007	May 29, 2007

Relationships

Registered with (3)

→ S••••••• R••••••• • I••••••••• M•••••••••Registered adviserregistration: current employment
Mar 11, 2014 to presentfactForm ADV
→ C•••••••• G••••• M•••••• I•••Registered adviserregistration: previous registration
May 29, 2007 to Oct 24, 2013factForm ADV
→ C••••••• I••••••••• S•••••••Registered adviserregistration: previous registration
Jan 14, 2002 to May 29, 2007factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:1dd82a86-6c21-8422-c970-207ea16020e5
First observed: Jan 14, 2002
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.