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

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)43 years in industry

R•••••• L•••• S•••••

Advisor at M•••••• L••••• P•••••• F••••• • S•••• I•••••••••

MONTEREY, CA

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Search this name across graphsid dfx:ria:293f54bc-db7c-ef59-917f-3a4017328d81

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 11:57 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Aug 24, 1998 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•••••• L••••• P•••••• F••••• • S•••• I•••••••••
Current firm class: wirehousederived
Book size: not public••• Locked
Industry start: Apr 1, 1983earliest registration or exam on IAPD
Years in industry: 43derivedfrom the industry start date
Years at current firm: 18derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	Wirehouse	Jul 21, 2008	n/a	yes	MONTEREY, CA	Current employment
M••••• S•••••• • C•• L••	n/a	Apr 2, 2007	Jul 23, 2008	no	SALINAS, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M••••• S•••••• • C•• L••	M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	Jul 23, 2008	Jul 21, 2008	-2	Firm change	Other
M••••• S•••••• D• I•••	M••••• S•••••• • C•• L••	Apr 2, 2007	Apr 2, 2007

Relationships

Registered with (3)

→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Registered adviserregistration: current employment
Jul 21, 2008 to presentfactForm ADV
→ M••••• S•••••• • C•• L••Registered adviserregistration: previous registration
Apr 2, 2007 to Jul 23, 2008factForm ADV
→ M••••• S•••••• D• I•••Registered adviserregistration: previous registration
Aug 24, 1998 to Apr 2, 2007factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:293f54bc-db7c-ef59-917f-3a4017328d81
First observed: Aug 24, 1998
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.