DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)47 years in industry

M••• S•••• S••••••••

Advisor at C••• L••

••• Locked

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Search this name across graphsid dfx:ria:1f555acb-6d1f-2073-7d14-74ac5e9b441b

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:33 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Dec 3, 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: C••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Apr 1, 1979earliest registration or exam on IAPD
Years in industry: 47derivedfrom the industry start date
Years at current firm: 10derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••• L••	Bd affiliated wealth	Feb 3, 2016	n/a	yes	Bethesda, MD\|Lighthouse Point, FL\|OMAHA, NE	Current employment
U••• F•••••••• A•••••••	Former SEC adviser	May 3, 2013	Jan 28, 2016	no	BETHESDA, MD\|WILMINGTON, DE

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
U••• F•••••••• A•••••••	C••• L••	Jan 28, 2016	Feb 3, 2016	6	Firm change	Other
O•••• F•• I•••	U••• F•••••••• A•••••••	May 17, 2013	May 3, 2013

Team moves

••• Locked

Team	Left	Joined	From	Kind
108763:155344:DE:2016-01-28	Jan 28, 2016	Feb 3, 2016	WILMINGTON, DE	Firm change

Relationships

Registered with (3)

→ C••• L••Registered adviserregistration: current employment
Feb 3, 2016 to presentfactForm ADV
→ U••• F•••••••• A•••••••Registered adviserregistration: previous registration
May 3, 2013 to Jan 28, 2016factForm ADV
→ O•••• F•• I•••Registered adviserregistration: previous registration
Dec 3, 2008 to May 17, 2013factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:1f555acb-6d1f-2073-7d14-74ac5e9b441b
First observed: Dec 3, 2008
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.