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

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RIA / WealthAdvisordual registered (broker-dealer)22 years in industry

S••••• P••• H•••

Advisor at M••••• S••••••

Seattle, WA

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Search this name across graphsid dfx:ria:2124a1a3-06c1-34cc-7cfc-77e0d0204456

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 4:22 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Apr 27, 2004 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••••• S••••••
Current firm class: wirehousederived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Oct 20, 2003earliest registration or exam on IAPD
Years in industry: 22derivedfrom the industry start date
Years at current firm: 17derivedfrom the current registration's begin date
Prior firms: 3

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••••• S••••••	Wirehouse	Jun 1, 2009	n/a	yes	Seattle, WA	Current employment
M••••• S•••••• • C•• L••	n/a	Apr 20, 2009	Jun 1, 2009	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••••• S•••••• • C•• L••	M••••• S••••••	Jun 1, 2009	Jun 1, 2009	0	Bulk transfer	Other
B••• O• A•••••• I••••••••• S•••••••• I•••	M••••• S•••••• • C•• L••	Apr 20, 2009

Relationships

Registered with (4)

→ M••••• S••••••Registered adviserregistration: current employment
Jun 1, 2009 to presentfactForm ADV
→ M••••• S•••••• • C•• L••Registered adviserregistration: previous registration
Apr 20, 2009 to Jun 1, 2009factForm ADV
→ B••• O• A•••••• I••••••••• S•••••••• I•••Registered adviserregistration: previous registration
Jul 21, 2005 to Apr 20, 2009factForm ADV
→ L••••• B••••••• I•••Registered adviserregistration: previous registration

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:2124a1a3-06c1-34cc-7cfc-77e0d0204456
First observed: Apr 27, 2004
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.