DFX Intelligence

Data Factory

RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)12 years in industry

Michael Stephen Muldoon

Advisor at SCHWAB WEALTH ADVISORY, INC.

SAN FRANCISCO, CA | Tysons Corner, VA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:303da96b-8caf-071b-d7db-e1e82d516e51

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 7:23 PM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 2
On other graphs: 0
Observed: Aug 6, 2014 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: SCHWAB WEALTH ADVISORY, INC.
Current firm class: no raum reportedderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Aug 6, 2014earliest registration or exam on IAPD
Years in industry: 12derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 8
Current registrations: 1
Registered states: 2
Designations: Certified Financial Planner
Exams: S66|S63
First exam: Aug 6, 2014
First registration: Aug 6, 2014
Dual registered: yes, broker-dealer
Other names: MICHAEL S MULDOON|Michael Muldoon
IAPD individual key: 6306268

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
SCHWAB WEALTH ADVISORY, INC.	No RAUM reported	Feb 13, 2024	n/a	yes	Tysons Corner, VA\|SAN FRANCISCO, CA	Current employment
LEGACY WEALTH MANAGEMENT INC.	Independent wealth	Apr 11, 2023	Aug 31, 2023	no	MANASSAS, VA	Previous registration
GROVE POINT ADVISORS, LLC	Former SEC adviser	Jul 8, 2022	Dec 22, 2022	no	Ocean City, MD\|Herndon, VA\|ROCKVILLE, MD	Previous registration
SPIRE WEALTH MANAGEMENT, LLC	Bd affiliated wealth	Mar 10, 2020	Mar 23, 2020	no	McLean, VA\|MCLEAN, VA	Previous registration
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Former SEC adviser	Mar 11, 2019	Mar 11, 2020	no	Fairfax, VA	Previous registration
TD AMERITRADE, INC.	Former SEC adviser	Mar 8, 2019	Mar 11, 2020	no	Tysons Corner, VA	Previous registration
SPC FINANCIAL INC	Former SEC adviser	Nov 24, 2015	Dec 22, 2017	no	ROCKVILLE, MD	Previous registration
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	Bd affiliated wealth	May 21, 2015	Jun 16, 2015	no	ROCKVILLE, MD	Previous registration
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Aug 6, 2014	Apr 22, 2015	no	VIENNA, VA	Previous registration

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
LEGACY WEALTH MANAGEMENT INC.	SCHWAB WEALTH ADVISORY, INC.	Aug 31, 2023	Feb 13, 2024	166	Firm change	Other
GROVE POINT ADVISORS, LLC	LEGACY WEALTH MANAGEMENT INC.	Dec 22, 2022	Apr 11, 2023	110	Firm change	Ibd to RIA
SPIRE WEALTH MANAGEMENT, LLC	GROVE POINT ADVISORS, LLC	Mar 23, 2020	Jul 8, 2022	837	Firm change after gap	Ibd to ibd
TD AMERITRADE, INC.	TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Mar 11, 2020	Mar 11, 2019	-366	Channel change	Other
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	SPIRE WEALTH MANAGEMENT, LLC	Mar 11, 2020	Mar 10, 2020	-1	Firm change	RIA to ibd
SPC FINANCIAL INC	TD AMERITRADE, INC.	Dec 22, 2017	Mar 8, 2019	441	Firm change after gap	Other
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	SPC FINANCIAL INC	Jun 16, 2015	Nov 24, 2015	161	Firm change	Other
AMERIPRISE FINANCIAL SERVICES, LLC	RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	Apr 22, 2015	May 21, 2015	29	Firm change	Other

Relationships

Registered with (9)

→ SCHWAB WEALTH ADVISORY, INC.Registered adviserregistration: current employment
Feb 13, 2024 to presentfactForm ADV
→ LEGACY WEALTH MANAGEMENT INC.Registered adviserregistration: previous registration
Apr 11, 2023 to Aug 31, 2023factForm ADV
→ GROVE POINT ADVISORS, LLCRegistered adviserregistration: previous registration
Jul 8, 2022 to Dec 22, 2022factForm ADV
→ SPIRE WEALTH MANAGEMENT, LLCRegistered adviserregistration: previous registration
Mar 10, 2020 to Mar 23, 2020factForm ADV
→ TD AMERITRADE INVESTMENT MANAGEMENT, LLCRegistered adviserregistration: previous registration
Mar 11, 2019 to Mar 11, 2020factForm ADV
→ TD AMERITRADE, INC.Registered adviserregistration: previous registration
Mar 8, 2019 to Mar 11, 2020factForm ADV
→ SPC FINANCIAL INCRegistered adviserregistration: previous registration
Nov 24, 2015 to Dec 22, 2017factForm ADV
→ RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INCRegistered adviserregistration: previous registration
May 21, 2015 to Jun 16, 2015factForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Aug 6, 2014 to Apr 22, 2015factForm ADV

Dated events

Occurred
Aug 31, 2023
Advisor changed firm
Michael Stephen Muldoon left Legacy Wealth Management Inc. for Schwab Wealth Advisory, Inc. (registered 2024-02-13)
Form ADVobserved 6 days ago
Occurred
Dec 22, 2022
Advisor changed firm
Michael Stephen Muldoon left Grove Point Advisors, Llc for Legacy Wealth Management Inc. (registered 2023-04-11)
Form ADVobserved 6 days ago