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

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RIA / WealthAdvisordual registered (broker-dealer)18 years in industrynot currently registered

B•••••• C•••••••

Advisor at M••••• S••••••

Newport Beach, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:5034409e-ef9e-b7ce-7802-670bff9c9faa

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:57 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Aug 5, 2008 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 publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Aug 4, 2008earliest registration or exam on IAPD
Years in industry: 18derivedfrom the industry start date
Years at current firm: 8derivedfrom the current registration's begin date
Prior firms: 3

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
M••••• S••••••	Wirehouse	Jul 6, 2018	n/a	yes	Newport Beach, CA	Current employment
D••• D••••••• • C••	Independent wealth	Jan 9, 2018	Jun 18, 2018	no	NEWPORT BEACH, CA

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
D••• D••••••• • C••	M••••• S••••••	Jun 18, 2018	Jul 6, 2018	18	Firm change	RIA to wirehouse
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	D••• D••••••• • C••	Dec 26, 2017

Relationships

Registered with (4)

→ M••••• S••••••Registered adviserregistration: current employment
Jul 6, 2018 to presentfactForm ADV
→ D••• D••••••• • C••Registered adviserregistration: previous registration
Jan 9, 2018 to Jun 18, 2018factForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Registered adviserregistration: previous registration
Apr 20, 2011 to Dec 26, 2017factForm ADV
→ C••• B•••••••• S•••••••• I•••

Dated events

1 bookkeeping events (roster, classification and holdings changes) folded below

Show 1 bookkeeping events

First seen by DFX
Sep 16, 2026
date not stated
B•••••• C••••••• no longer holds an investment adviser registration (last listed at M••••• S•••••• on the 2026-09-15 feed)

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:5034409e-ef9e-b7ce-7802-670bff9c9faa
First observed: Aug 5, 2008
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.