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

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RIA / WealthAdvisordual registered (broker-dealer)30 years in industry

M•••••• L• M•••••••

Advisor at M•••••• L••••• P•••••• F••••• • S•••• I•••••••••

SAN ANTONIO, TX | LITTLE ROCK, AR

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Search this name across graphsid dfx:ria:6ace4e45-0670-0826-90e8-0210062f6448

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 1:14 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Sep 26, 1996 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•••••• L••••• P•••••• F••••• • S•••• I•••••••••
Current firm class: wirehousederived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Sep 28, 1995earliest registration or exam on IAPD
Years in industry: 30derivedfrom the industry start date
Years at current firm: 13derivedfrom 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
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	Wirehouse	May 13, 2013	n/a	yes	LITTLE ROCK, AR\|SAN ANTONIO, TX	Current employment
S••••• A••• A•••• M••••••••• I•••	Former SEC adviser	Apr 8, 2009	Apr 15, 2013	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
S••••• A••• A•••• M••••••••• I•••	M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	Apr 15, 2013	May 13, 2013	28	Firm change	Other
S••••••• G•••• C••••••	S••••• A••• A•••• M••••••••• I•••	Mar 11, 2009

Relationships

Registered with (4)

→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Registered adviserregistration: previous registration
Sep 26, 1996 to Oct 26, 2004factForm ADV
→ S••••• A••• A•••• M••••••••• I•••Registered adviserregistration: previous registration
Apr 8, 2009 to Apr 15, 2013factForm ADV
→ S••••••• G•••• C••••••Registered adviserregistration: previous registration
Nov 1, 2006 to Mar 11, 2009factForm ADV
→ S••••••••• W••••• M••••••••• L••Registered adviser

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:6ace4e45-0670-0826-90e8-0210062f6448
First observed: Sep 26, 1996
Last observed: Sep 14, 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.