DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)33 years in industry

C•••••••• R••• C••••••

Advisor at M••••• A•••••••• L••

••• Locked

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Search this name across graphsid dfx:ria:419f87b3-d41b-f3b9-3e75-7931e1354e54

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:37 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Jan 13, 2005 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••••• A•••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Oct 12, 1992earliest registration or exam on IAPD
Years in industry: 33derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
M••••• A•••••••• L••	Bd affiliated wealth	May 7, 2019	n/a	yes	Manhattan Beach, CA\|Hermosa Beach, CA\|OMAHA, NE	Current employment
F•••• A••••• A••••••• S•••••••• I•••	Former SEC adviser	Jul 2, 2012	May 6, 2019	no	EL SEGUNDO, CA\|EL SEGUNDO, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
I•• W••••• M•••••••••	F•••• A••••• S••••••••• I•••	Jul 3, 2019	Mar 9, 2009	-3,768	Firm change after gap	Other
F•••• A••••• A••••••• S•••••••• I•••	M••••• A•••••••• L••	May 6, 2019	May 7, 2019

Team moves

••• Locked

Team	Left	Joined	From	Kind
137888:167658:CA:2019-05-06	May 6, 2019	May 7, 2019	EL SEGUNDO, CA	Firm change

Relationships

Registered with (5)

→ M••••• A•••••••• L••Registered adviserregistration: current employment
May 7, 2019 to presentfactForm ADV
→ I•• W••••• M•••••••••Registered adviserregistration: previous registration
Apr 28, 2005 to Jul 3, 2019factForm ADV
→ F•••• A••••• A••••••• S•••••••• I•••Registered adviserregistration: previous registration
Jul 2, 2012 to May 6, 2019factForm ADV
→ F•••• A••••• S••••••••• I•••Registered adviser

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:419f87b3-d41b-f3b9-3e75-7931e1354e54
First observed: Jan 13, 2005
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.