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

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RIA / WealthAdvisordual registered (broker-dealer)31 years in industry

M••• D••••••

Advisor at W•••• F•••• A•••••••

BEVERLY HILLS, CA

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:3b5091ee-4a26-c5be-4c7c-ebaf06cd73c1

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:16 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 1
On other graphs: 0
Observed: Mar 15, 2002 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: W•••• F•••• A•••••••
Current firm class: wirehousederived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jan 25, 1995earliest registration or exam on IAPD
Years in industry: 31derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 6

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
W•••• F•••• A•••••••	Wirehouse	Oct 23, 2023	n/a	yes	BEVERLY HILLS, CA	Current employment
J••• M••••• S••••••••• L••	Wirehouse	Aug 6, 2015	Oct 27, 2023	no	BEVERLY HILLS, CA\|BEVERLY HILLS, CA\|SANTA MONICA, CA\|PASADENA, CA

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
J••• M••••• S••••••••• L••	W•••• F•••• A•••••••	Oct 27, 2023	Oct 23, 2023	-4	Firm change	Wirehouse to wirehouse
C•••• I••••••••• S••••••• C••••	J••• M••••• S••••••••• L••	Oct 1, 2012

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
79:19616:CA:2023-10-23	Oct 27, 2023	Oct 23, 2023	PASADENA, CA	Firm change

Relationships

Registered with (6)

→ W•••• F•••• A•••••••Registered adviserregistration: current employment
Oct 23, 2023 to presentfactForm ADV
→ J••• M••••• S••••••••• L••Registered adviserregistration: previous registration
Aug 6, 2015 to Oct 27, 2023factForm ADV
→ C•••• I••••••••• S••••••• C••••Registered adviserregistration: previous registration
May 2, 2009 to Oct 1, 2012factForm ADV
→ W••• I••••••••• I•••Registered adviser

Dated events

Occurred
Oct 27, 2023
Advisor changed firm
M••• D•••••• left J••• M••••• S••••••••• L•• for W•••• F•••• A••••••• (registered 2023-10-23)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:3b5091ee-4a26-c5be-4c7c-ebaf06cd73c1
First observed: Mar 15, 2002
Last observed: Sep 14, 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.