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

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RIA / WealthAdvisordual registered (broker-dealer)29 years in industry

M••••••• W••••••• W•••••

Advisor at A••••••••• F•••••••• S•••••••• L••

Sacramento, CA | Carson City, NV | Leawood, KS

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Search this name across graphsid dfx:ria:2b8be498-8803-a356-a78a-207782ee0703

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:05 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Jul 8, 1997 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: A••••••••• F•••••••• S•••••••• L••
Current firm class: national broker-dealer RIAderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Mar 10, 1997earliest registration or exam on IAPD
Years in industry: 29derivedfrom the industry start date
Years at current firm: 16derivedfrom the current registration's begin date
Prior firms

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
A••••••••• F•••••••• S•••••••• L••	National bd RIA	Oct 5, 2009	n/a	yes	Carson City, NV\|Leawood, KS\|Sacramento, CA	Current employment
A••••••••• A•••••• S•••••••• I•••	n/a	May 5, 2009	Oct 5, 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
A••••••••• A•••••• S•••••••• I•••	A••••••••• F•••••••• S•••••••• L••	Oct 5, 2009	Oct 5, 2009	0	Bulk transfer	Other
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	A••••••••• A•••••• S•••••••• I•••	Mar 11, 2009

Relationships

Registered with (3)

→ A••••••••• F•••••••• S•••••••• L••Registered adviserregistration: current employment
Oct 5, 2009 to presentfactForm ADV
→ A••••••••• A•••••• S•••••••• I•••Registered adviserregistration: previous registration
May 5, 2009 to Oct 5, 2009factForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Registered adviserregistration: previous registration
Jul 8, 1997 to Mar 11, 2009factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:2b8be498-8803-a356-a78a-207782ee0703
First observed: Jul 8, 1997
Last observed: Sep 15, 2026 7 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.