DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)17 years in industry

S•••••• L• A••••

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

HOT SPRINGS, AR | NEW YORK, NY

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Search this name across graphsid dfx:ria:2d3278b8-135a-34c7-4d46-f01fa0d5e348

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 2:39 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 1
On other graphs: 0
Observed: Jul 11, 2025 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: Jan 1, 2009earliest registration or exam on IAPD
Years in industry: 17derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	Wirehouse	Aug 21, 2026	n/a	yes	HOT SPRINGS, AR\|NEW YORK, NY	Current employment
M••••• S••••••	Wirehouse	Jul 11, 2025	Sep 9, 2026	no	HOT SPRINGS, AR	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M••••• S••••••	M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	Sep 9, 2026	Aug 21, 2026	-19	Firm change	Wirehouse to wirehouse

Relationships

Registered with (2)

→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Registered adviserregistration: current employment
Aug 21, 2026 to presentfactForm ADV
→ M••••• S••••••Registered adviserregistration: previous registration
Jul 11, 2025 to Sep 9, 2026factForm ADV

Dated events

Occurred
Sep 9, 2026
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:2d3278b8-135a-34c7-4d46-f01fa0d5e348
First observed: Jul 11, 2025
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.