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

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RIA / WealthAdvisordual registered (broker-dealer)35 years in industry

M•••••• I••• C••••

Advisor at O•••• W•••••• I•••

Tustin, CA

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Search this name across graphsid dfx:ria:37beb769-930d-f5cd-6a42-54d2187ff54d

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 10:47 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Feb 14, 2000 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: O•••• W•••••• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Feb 1, 1991earliest registration or exam on IAPD
Years in industry: 35derivedfrom the industry start date
Years at current firm: 25derivedfrom 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
O•••• W•••••• I•••	Bd affiliated wealth	Jan 8, 2001	n/a	yes	Tustin, CA	Current employment
L•••••• C•••••• M••••••••• I•••	n/a	Feb 14, 2000	Jul 1, 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
L•••••• C•••••• M••••••••• I•••	O•••• W•••••• I•••	Jul 1, 2009	Jan 8, 2001	-3,096	Firm change after gap	Other

Relationships

Registered with (2)

→ O•••• W•••••• I•••Registered adviserregistration: current employment
Jan 8, 2001 to presentfactForm ADV
→ L•••••• C•••••• M••••••••• I•••Registered adviserregistration: previous registration
Feb 14, 2000 to Jul 1, 2009factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:37beb769-930d-f5cd-6a42-54d2187ff54d
First observed: Feb 14, 2000
Last observed: Sep 14, 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.