DFX Intelligence

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

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RIA / WealthAdvisorChartered Financial Consultantdual registered (broker-dealer)30 years in industry

S••• M•••••• L••••

Advisor at M••••••••• R•••••••••

Powell, OH | WASHINGTON, DC

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 9:27 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Oct 11, 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: M••••••••• R•••••••••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Nov 9, 1995earliest registration or exam on IAPD
Years in industry: 30derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
M••••••••• R•••••••••	Bd affiliated wealth	Sep 25, 2020	n/a	yes	Powell, OH\|WASHINGTON, DC	Current employment
N••••••••• I••••••••• A•••••••• L••	Bd affiliated wealth	Dec 5, 2006	Mar 22, 2010	no	COLUMBUS, OH

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
N••••••••• I••••••••• A•••••••• L••	M••••••••• R•••••••••	Mar 22, 2010	Sep 25, 2020	3,840	Firm change after gap	Other
N••••••••• I••••••••• S••••••• C•••••••••	N••••••••• I••••••••• A•••••••• L••	Dec 5, 2006	Dec 5, 2006

Relationships

Registered with (5)

→ M••••••••• R•••••••••Registered adviserregistration: current employment
Sep 25, 2020 to presentfactForm ADV
→ N••••••••• I••••••••• A•••••••• L••Registered adviserregistration: previous registration
Dec 5, 2006 to Mar 22, 2010factForm ADV
→ N••••••••• I••••••••• S••••••• C•••••••••Registered adviserregistration: previous registration
Nov 15, 2006 to Dec 5, 2006factForm ADV
→ M••••• A•••• M••••••••• I•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Oct 11, 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.