DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Planner40 years in industry

M••• L•••• P•••••••••

Advisor at A••••• W•••••

WEST HARTFORD, CT | Costa Mesa, CA

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Search this name across graphsid dfx:ria:69804061-f485-9c43-6933-0461f89f736d

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:50 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Jun 28, 2006 to Sep 15, 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: A••••• W•••••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Apr 1, 1986earliest registration or exam on IAPD
Years in industry: 40derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
A••••• W•••••	Independent wealth	Jul 20, 2023	n/a	yes	Costa Mesa, CA\|WEST HARTFORD, CT	Current employment
I••••••• F••••••••	Former SEC adviser	Aug 23, 2007	Nov 6, 2023	no	HUNTINGTON BEACH, CA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
I••••••• F••••••••	A••••• W•••••	Nov 6, 2023	Jul 20, 2023	-109	Firm change after gap	RIA to RIA
B•••••••• A••••••• G••••• L••	I••••••• F••••••••	Dec 11, 2007	Aug 23, 2007

Team moves

••• Locked

Team	Left	Joined	From	Kind
125713:171106:CA:2023-11-06	Nov 6, 2023	Jul 20, 2023	HUNTINGTON BEACH, CA	Firm change after gap

Relationships

Registered with (3)

→ A••••• W•••••Registered adviserregistration: current employment
Jul 20, 2023 to presentfactForm ADV
→ I••••••• F••••••••Registered adviserregistration: previous registration
Aug 23, 2007 to Nov 6, 2023factForm ADV
→ B•••••••• A••••••• G••••• L••Registered adviserregistration: previous registration
Jun 28, 2006 to Dec 11, 2007factForm ADV

Dated events

Occurred
Nov 6, 2023
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:69804061-f485-9c43-6933-0461f89f736d
First observed: Jun 28, 2006
Last observed: Sep 15, 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.