DFX Intelligence

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

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

M•••••• C•••••••

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

••• Locked

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Search this name across graphsid dfx:ria:4f7c2450-3de7-36e3-61bc-0be68975c1a2

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:09 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 1
On other graphs: 0
Observed: May 20, 2016 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: Sep 1, 2010earliest registration or exam on IAPD
Years in industry: 16derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	Wirehouse	Sep 27, 2022	n/a	yes	WHITE PLAINS, NY\|flushing, NY\|NEW YORK, NY	Current employment
J••• M••••• S••••••••• L••	Wirehouse	May 20, 2016	Aug 25, 2022	no	NEW YORK, NY\|NEW YORK, NY\|NEW YORK, NY\|NEW YORK, NY\|NEW YORK, NY\|NEW YORK, NY\|NEW YORK, NY

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
J••• M••••• S••••••••• L••	M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	Aug 25, 2022	Sep 27, 2022	33	Firm change	Wirehouse to wirehouse

Team moves

••• Locked

Team	Left	Joined	From	Kind
79:7691:NY:2022-08-25	Aug 25, 2022	Sep 27, 2022	NEW YORK, NY	Firm change

Relationships

Registered with (2)

→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Registered adviserregistration: current employment
Sep 27, 2022 to presentfactForm ADV
→ J••• M••••• S••••••••• L••Registered adviserregistration: previous registration
May 20, 2016 to Aug 25, 2022factForm ADV

Dated events

Occurred
Aug 25, 2022
Advisor changed firm
M•••••• C••••••• left J••• M••••• S••••••••• L•• for M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (registered 2022-09-27)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:4f7c2450-3de7-36e3-61bc-0be68975c1a2
First observed: May 20, 2016
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.