DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)28 years in industry

M••••••• L••• S••••••

Advisor at A••••••••• F•••••••• S•••••••• L••

Scottsdale, AZ

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Search this name across graphsid dfx:ria:48230731-df7e-468c-870e-a6aca70418c1

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:30 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Oct 28, 2011 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: A••••••••• F•••••••• S•••••••• L••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Oct 31, 1997earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
A••••••••• F•••••••• S•••••••• L••	National bd RIA	Feb 10, 2023	n/a	yes	Scottsdale, AZ	Current employment
A••••••••• F•••••••• S•••••••• L••	National bd RIA	Jul 31, 2017	Nov 4, 2022	no	SAN DIEGO, CA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
W••••• C•••• F••••••••	A••••••••• F•••••••• S•••••••• L••	Jul 6, 2017	Jul 31, 2017	25	Firm change	Other
A••••••••• F•••••••• S•••••••• L••	W••••• C•••• F••••••••	Dec 21, 2016	Dec 21, 2016

Team moves

••• Locked

Team	Left	Joined	From	Kind
6363:285670:CA:2016-12-20	Dec 21, 2016	Dec 21, 2016	SAN DIEGO, CA	Firm change

Relationships

Registered with (2)

→ A••••••••• F•••••••• S•••••••• L••Registered adviserregistration: previous registration
Jul 31, 2017 to Nov 4, 2022factForm ADV
→ W••••• C•••• F••••••••Registered adviserregistration: previous registration
Dec 21, 2016 to Jul 6, 2017factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:48230731-df7e-468c-870e-a6aca70418c1
First observed: Oct 28, 2011
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.