DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)30 years in industry

L••••••• C•••••• R••••••

Advisor at M•••••••• W••• A•••• M••••••••• L••

LOS ANGELES, CA | Southport, CT

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:52bc51d1-4700-1742-24a9-b8c02087c0b0

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 3:05 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
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: M•••••••• W••• A•••• M••••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Jan 19, 1996earliest registration or exam on IAPD
Years in industry: 30derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
M•••••••• W••• A•••• M••••••••• L••	Independent wealth	Jan 19, 2024	n/a	yes	Southport, CT\|LOS ANGELES, CA	Current employment
S•••••• W••••• P•••••••• L••	Bd affiliated wealth	Jun 8, 2021	Nov 15, 2023	no	New York, NY\|Darien, CT

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
S•••••• W••••• P•••••••• L••	M•••••••• W••• A•••• M••••••••• L••	Nov 15, 2023	Jan 19, 2024	65	Firm change	Ibd to RIA
B•••••• P•••• W••••• A••••••• L••	S•••••• W••••• P•••••••• L••	Apr 8, 2021	Jun 8, 2021

Team moves

••• Locked

Team	Left	Joined	From	Kind
288590:287603:MA:2018-08-16	Aug 16, 2018	Nov 1, 2018	BOSTON, MA	Firm change

Relationships

Registered with (6)

→ M•••••••• W••• A•••• M••••••••• L••Registered adviserregistration: current employment
Jan 19, 2024 to presentfactForm ADV
→ S•••••• W••••• P•••••••• L••Registered adviserregistration: previous registration
Jun 8, 2021 to Nov 15, 2023factForm ADV
→ B•••••• P•••• W••••• A••••••• L••Registered adviserregistration: previous registration
Nov 1, 2018 to Apr 8, 2021factForm ADV
→ F••••••• P••••••• A•• W•••••••• A•••••••

Dated events

Occurred
Nov 15, 2023
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:52bc51d1-4700-1742-24a9-b8c02087c0b0
First observed: Jul 8, 1997
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.