DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)21 years in industry

L•••••• M• P••••

Advisor at M••••• S••••••

San Luis Obispo, CA

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Search this name across graphsid dfx:ria:43b7f780-0134-41e0-58c5-bd7ca1a87096

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 5:52 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 2
On other graphs: 0
Observed: Jun 29, 2022 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••••• S••••••
Current firm class: wirehousederived
Book size: not public••• Locked
Industry start: Jun 1, 2005earliest registration or exam on IAPD
Years in industry: 21derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
M••••• S••••••	Wirehouse	Feb 23, 2023	n/a	yes	San Luis Obispo, CA	Current employment
C••••• A••••••• L••	Former SEC adviser	Nov 1, 2022	Dec 31, 2022	no	SAN LUIS OBISPO, CA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C••••• A••••••• L••	M••••• S••••••	Dec 31, 2022	Feb 23, 2023	54	Firm change	Ibd to wirehouse
M••••• S••••••	C••••• A••••••• L••	Nov 14, 2022	Nov 1, 2022

Relationships

Registered with (2)

→ M••••• S••••••Registered adviserregistration: previous registration
Jun 29, 2022 to Nov 14, 2022factForm ADV
→ C••••• A••••••• L••Registered adviserregistration: previous registration
Nov 1, 2022 to Dec 31, 2022factForm ADV

Dated events

Occurred
Dec 31, 2022
Advisor changed firm
L•••••• M• P•••• left C••••• A••••••• L•• for M••••• S•••••• (registered 2023-02-23)
Form ADVobserved 7 days ago
Occurred
Nov 14, 2022
Advisor changed firm
L•••••• M• P•••• left M••••• S•••••• for C••••• A••••••• L•• (registered 2022-11-01)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:43b7f780-0134-41e0-58c5-bd7ca1a87096
First observed: Jun 29, 2022
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.