DFX Intelligence

S•••••••• C• B••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)16 years in industry

S•••••••• C• B••••

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

TACOMA, WA

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:49 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Mar 12, 2013 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•••••• L••••• P•••••• F••••• • S•••• I•••••••••
Current firm class: wirehousederived
Book size: not public••• Locked
Industry start: Jun 1, 2010earliest registration or exam on IAPD
Years in industry: 16derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	Wirehouse	Oct 10, 2023	n/a	yes	TACOMA, WA	Current employment
C••••••••• F•••••••• N••••••	National bd RIA	Aug 3, 2020	Mar 2, 2023	no	Gig Harbor, WA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C••••••••• F•••••••• N••••••	M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	Mar 2, 2023	Oct 10, 2023	222	Firm change	Ibd to wirehouse
A••••••• A•••••••• L••	C••••••••• F•••••••• N••••••	May 30, 2019	Aug 3, 2020

Relationships

Registered with (4)

→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Registered adviserregistration: current employment
Oct 10, 2023 to presentfactForm ADV
→ C••••••••• F•••••••• N••••••Registered adviserregistration: previous registration
Aug 3, 2020 to Mar 2, 2023factForm ADV
→ A••••••• A•••••••• L••Registered adviserregistration: previous registration
Feb 6, 2018 to May 30, 2019factForm ADV
→ W•••• F•••• A•••••••

Dated events

Order

Occurred
2 Mar 2023
Advisor changed firm
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Mar 12, 2013
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.