M••••••• W•••

Advisor at M••••• S••••••

Santa Rosa, CA

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Search this name across graphsid dfx:ria:52745868-ada0-3af1-c5c5-a511f1bffa28

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:07 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Apr 2, 2004 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 6, 2003earliest registration or exam on IAPD
Years in industry: 23derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
M••••• S••••••	Wirehouse	Oct 5, 2018	n/a	yes	Santa Rosa, CA	Current employment
G•• A•••••••	Former SEC adviser	Jun 23, 2011	Dec 13, 2013	no	SANTA ROSA, CA\|SANTA ROSA, CA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
G•• A•••••••	M••••• S••••••	Dec 13, 2013	Oct 5, 2018	1,757	Firm change after gap	Other
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	G•• A•••••••	Feb 3, 2011	Jun 23, 2011

Relationships

Registered with (4)

→ M••••• S••••••Registered adviserregistration: current employment
Oct 5, 2018 to presentfactForm ADV
→ G•• A•••••••Registered adviserregistration: previous registration
Jun 23, 2011 to Dec 13, 2013factForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Registered adviserregistration: previous registration
Oct 23, 2009 to Feb 3, 2011factForm ADV
→ B••• O• A•••••• I••••••••• S•••••••• I•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:52745868-ada0-3af1-c5c5-a511f1bffa28
First observed: Apr 2, 2004
Last observed: Sep 14, 2026 9 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.