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

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RIA / WealthAdvisor14 years in industry

S••••• M•••••• R•••••••

Advisor at M••••••••• F•••••••• I••

WESTLAKE VILLAGE, CA

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Search this name across graphsid dfx:ria:2bae42c2-58d7-566c-70c1-3868bf7b21c6

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:12 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: May 29, 2019 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••••••••• F•••••••• I••
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: May 1, 2012earliest registration or exam on IAPD
Years in industry: 14derivedfrom the industry start date
Years at current firm: 5derivedfrom 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
M••••••••• F•••••••• I••	Independent wealth	Apr 13, 2021	n/a	yes	WESTLAKE VILLAGE, CA	Current employment
F••••••• P••••••• A•• W•••••••• A•••••••	Former SEC adviser	May 29, 2019	Apr 25, 2021	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
F••••••• P••••••• A•• W•••••••• A•••••••	M••••••••• F•••••••• I••	Apr 25, 2021	Apr 13, 2021	-12	Firm change	Ibd to RIA

Relationships

Registered with (2)

→ M••••••••• F•••••••• I••Registered adviserregistration: current employment
Apr 13, 2021 to presentfactForm ADV
→ F••••••• P••••••• A•• W•••••••• A•••••••Registered adviserregistration: previous registration
May 29, 2019 to Apr 25, 2021factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:2bae42c2-58d7-566c-70c1-3868bf7b21c6
First observed: May 29, 2019
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.