DFX Intelligence

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

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RIA / WealthAdvisor23 years in industry

M•••••• S• R•••••••

Advisor at D•••••• C• L••• • A•••••••••

NEW YORK, NY

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Search this name across graphsid dfx:ria:3c9fc6d7-73c8-f317-31cc-ebfb0c214567

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:26 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Dec 11, 2003 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: D•••••• C• L••• • A•••••••••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Aug 1, 2003earliest registration or exam on IAPD
Years in industry: 23derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
D•••••• C• L••• • A•••••••••	Independent wealth	Nov 16, 2021	n/a	yes	NEW YORK, NY	Current employment
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	Wirehouse	Dec 11, 2003	Sep 15, 2005	no	NEW YORK, NY

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	D•••••• C• L••• • A•••••••••	Sep 15, 2005	Nov 16, 2021	5,906	Firm change after gap	Wirehouse to RIA

Relationships

Registered with (2)

→ D•••••• C• L••• • A•••••••••Registered adviserregistration: current employment
Nov 16, 2021 to presentfactForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Registered adviserregistration: previous registration
Dec 11, 2003 to Sep 15, 2005factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:3c9fc6d7-73c8-f317-31cc-ebfb0c214567
First observed: Dec 11, 2003
Last observed: Sep 14, 2026 9 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.