DFX Intelligence

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

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RIA / WealthRegistered adviserno raum reportedSEC registeredRAUM none

M•• S••••••••• L••

CRD 44254

NEW YORK, NY

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:59306c45-04c0-3ee4-7269-9b1cb8809c88

Data as of Jun 30, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 6:12 PM UTC and rebuilt at most every 15 minutes.

Relationships: 228
Dated events: 38
On other graphs: 1
Observed: Jun 9, 2015 to Jun 30, 2026
44 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Allocatorsidentity

M•• S••••••••• L••

Investment consultant · shared crd

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: no raum reportedderivedprivate_client_share=0.0 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=true bd_reps=178.0
Regulatory AUM: $0••• Locked
Discretionary RAUM: $0
Private client RAUM: $0derived••• Locked
Advisors on IAPD: 173
Employees: 211
Advisory employees: 164
Offices: 30Schedule D 1.F, beyond the principal office

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
W•••••• J••••• P•••••••	n/a	San Diego, CA	11	29	4	yes
R••• M•••••• S•••••	Certified Financial Planner	San Diego, CA	11	21

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B••••••• B•••• E•••••	SENIOR SUPERVISORY PRINCIPAL	Na	yes	04/2020	Jan 15, 2019	Jun 12, 2024
G•• C•••••••• • C••••••• L••	Owner	E	yes	11/2018	Aug 19, 2022	Jun 12, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
M••••• I••••••••• L••	n/a	Institutional manager	$226B	N	yes	n/a
M•• A•••• M••••••••• L••	n/a	Mixed wealth	$788M	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
SAN DIEGO	CA	United States	14	yes
Boston	Ma	United States	14	yes
Schaumburg	IL	United States	11	yes
Conshohocken	Pa	United States	10	no
Dallas	TX	United States

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 27, 2026

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
24	9	15	5.2%	4	2	0	59	17

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$0	$0	n/a	n/a	n/a	211	179	30	32

Teams in

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
P•••••• A••••••• G•••• L••	2	Jan 30, 2026	Jan 5, 2026	IRVINE, CA	Team lift out	Other	100.0%
P•••••• A••••••• G•••• L••	4	Jan 8, 2026	Jan 8, 2026

Relationships

showing 80 of 228

Registered with (74)

← Ian Robert McCormickAdvisorregistration: current employment
Aug 31, 2026 to presentfactForm ADV
← POLLY JANE BROOKSAdvisorregistration: current employment
Aug 21, 2026 to presentfactForm ADV
← Michael Thomas SchnurAdvisorregistration: current employment
Aug 3, 2026 to presentfactForm ADV
← Juan David Arbelaez-calad

Dated events

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

Occurred
Sep 17, 2026
Advisor changed firm
Roxana Gomez left M•• S••••••••• L•• for Integrated Wealth Concepts LLC (registered 2026-08-25)
Form ADVobserved 4 days ago
Occurred
Aug 26, 2026
Advisor changed firm
Alison Paige Ayd left M•• S••••••••• L•• for Onedigital (registered 2026-08-10)
Form ADVobserved 7 days ago
Occurred
May 22, 2026
Advisor changed firm
Ras Emerson Smith left M•• S••••••••• L•• for Allworth Financial, L.P. (registered 2026-08-05)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:59306c45-04c0-3ee4-7269-9b1cb8809c88
First observed: Jun 9, 2015
Last observed: Jun 30, 2026 2 months ago
Source families: Federal regulator filings
3 registered feeds 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.