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

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RIA / WealthAdvisordual registered (broker-dealer)46 years in industry

M•••••• L•••••

Advisor at S•••••• N••••••• • C••••••• I•••••••••

PALM DESERT, CA | KETCHUM, ID

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Search this name across graphsid dfx:ria:594ab171-b2f8-39aa-5779-8198f682d76b

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 11:09 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Mar 29, 2001 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: S•••••• N••••••• • C••••••• I•••••••••
Current firm class: national broker-dealer RIAderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Feb 4, 1980earliest registration or exam on IAPD
Years in industry: 46derivedfrom the industry start date
Years at current firm: 14derivedfrom the current registration's begin date
Prior firms

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
S•••••• N••••••• • C••••••• I•••••••••	National bd RIA	Mar 1, 2012	n/a	yes	KETCHUM, ID\|PALM DESERT, CA	Current employment
W•••• F•••• A•••••••	Wirehouse	Jan 1, 2008	Mar 2, 2012	no

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
W•••• F•••• A•••••••	S•••••• N••••••• • C••••••• I•••••••••	Mar 2, 2012	Mar 1, 2012	-1	Firm change	Wirehouse to ibd
A• G• E•••••• • S•••• I•••	W•••• F•••• A•••••••	Jan 1, 2008

Relationships

Registered with (3)

→ S•••••• N••••••• • C••••••• I•••••••••Registered adviserregistration: current employment
Mar 1, 2012 to presentfactForm ADV
→ W•••• F•••• A•••••••Registered adviserregistration: previous registration
Jan 1, 2008 to Mar 2, 2012factForm ADV
→ A• G• E•••••• • S•••• I•••Registered adviserregistration: previous registration
Mar 29, 2001 to Jan 1, 2008factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:594ab171-b2f8-39aa-5779-8198f682d76b
First observed: Mar 29, 2001
Last observed: Sep 14, 2026 7 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.