DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)21 years in industry

S••• M•••••• P••••

Advisor at M••••• S••••••

Orinda, CA

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 2:29 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Mar 23, 2005 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••••• S••••••
Current firm class: wirehousederived
Book size: not public••• Locked
Industry start: Mar 22, 2005earliest registration or exam on IAPD
Years in industry: 21derivedfrom the industry start date
Years at current firm: 11derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
M••••• S••••••	Wirehouse	Jun 3, 2015	n/a	yes	Orinda, CA	Current employment
L•• F•••••••• L••	Bd affiliated wealth	Jun 15, 2010	Jun 5, 2015	no	DANVILLE, CA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
L•• F•••••••• L••	M••••• S••••••	Jun 5, 2015	Jun 3, 2015	-2	Firm change	Other
M••••• S••••••	L•• F•••••••• L••	May 24, 2010	Jun 15, 2010

Relationships

Registered with (4)

→ M••••• S••••••Registered adviserregistration: previous registration
Jun 1, 2009 to May 24, 2010factForm ADV
→ L•• F•••••••• L••Registered adviserregistration: previous registration
Jun 15, 2010 to Jun 5, 2015factForm ADV
→ C•••••••• G••••• M•••••• I•••Registered adviserregistration: previous registration
Sep 14, 2007 to Jun 1, 2009factForm ADV
→ U•• F•••••••• S••••••• I•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Mar 23, 2005
Last observed: Sep 14, 2026 10 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.