DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)15 years in industry

E••• S•••• R••••

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

••• Locked

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Search this name across graphsid dfx:ria:3875e0ce-b681-dd24-fd61-f4abbed9a724

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:03 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Mar 23, 2011 to Sep 15, 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: Mar 22, 2011earliest registration or exam on IAPD
Years in industry: 15derivedfrom the industry start date
Years at current firm: 9derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	Wirehouse	Mar 6, 2017	n/a	yes	NEWPORT BEACH, CA\|San Ramon, CA\|LIVERMORE, CA	Current employment
T• A••••••••• I••••••••• M••••••••• L••	Former SEC adviser	Nov 4, 2016	Feb 6, 2017	no	Campbell, CA

Moves

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From	To	Left	Joined	Gap, days	Kind	Move type
T• A••••••••• I•••	T• A••••••••• I••••••••• M••••••••• L••	Feb 6, 2017	Nov 4, 2016	-94	Channel change	Other
T• A••••••••• I••••••••• M••••••••• L••	T• A••••••••• I•••	Feb 6, 2017	Nov 4, 2016

Team moves

••• Locked

Team	Left	Joined	From	Kind
7691:7870:NJ:2016-09-30	Oct 11, 2016	Nov 4, 2016	PENNINGTON, NJ	Firm change

Relationships

Registered with (4)

→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Registered adviserregistration: previous registration
Dec 14, 2012 to Oct 11, 2016factForm ADV
→ T• A••••••••• I••••••••• M••••••••• L••Registered adviserregistration: previous registration
Nov 4, 2016 to Feb 6, 2017factForm ADV
→ T• A••••••••• I•••Registered adviserregistration: previous registration
Nov 4, 2016 to Feb 6, 2017factForm ADV
→ U•• F•••••••• S••••••• I•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:3875e0ce-b681-dd24-fd61-f4abbed9a724
First observed: Mar 23, 2011
Last observed: Sep 15, 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.