DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)39 years in industry

M•••••• C•••• N••••••

Advisor at S•••••• N••••••• • C••••••• I•••••••••

PARK CITY, UT

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Search this name across graphsid dfx:ria:43ec9895-4118-2c90-de40-689a67309f56

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 2:07 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Jul 8, 1997 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: S•••••• N••••••• • C••••••• I•••••••••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Jun 1, 1987earliest registration or exam on IAPD
Years in industry: 39derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S•••••• N••••••• • C••••••• I•••••••••	National bd RIA	Jan 17, 2019	n/a	yes	PARK CITY, UT	Current employment
A• G• E•••••• • S•••• I•••	n/a	Jul 8, 1997	Oct 11, 2007	no	GRASS VALLEY, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
A• G• E•••••• • S•••• I•••	S•••••• N••••••• • C••••••• I•••••••••	Oct 11, 2007	Jan 17, 2019	4,116	Firm change after gap	Other

Relationships

Registered with (2)

→ S•••••• N••••••• • C••••••• I•••••••••Registered adviserregistration: current employment
Jan 17, 2019 to presentfactForm ADV
→ A• G• E•••••• • S•••• I•••Registered adviserregistration: previous registration
Jul 8, 1997 to Oct 11, 2007factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:43ec9895-4118-2c90-de40-689a67309f56
First observed: Jul 8, 1997
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.