DFX Intelligence

F•••• S••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Planner|Chartered Financial Consultant30 years in industry

F•••• S••••••

Advisor at M•• C•••••• M••••••••• L••

Newport Beach, CA

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Search this name across graphsid dfx:ria:6f3691c1-1bb6-c908-53a9-573a6f743010

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:03 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
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•• C•••••• M••••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Sep 27, 1995earliest registration or exam on IAPD
Years in industry: 30derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
M•• C•••••• M••••••••• L••	Independent wealth	Oct 26, 2020	n/a	yes	Newport Beach, CA	Current employment
B••••••• I••••••••• S•••••••• I••• •••••	Former SEC adviser	Mar 21, 2018	Sep 18, 2020	no	NEWPORT BEACH, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
B••••••• I••••••••• S•••••••• I••• •••••	M•• C•••••• M••••••••• L••	Sep 18, 2020	Oct 26, 2020	38	Firm change	Ibd to RIA
C••••••• S•••••••••	B••••••• I••••••••• S•••••••• I••• •••••	Mar 16, 2018	Mar 21, 2018

Relationships

Registered with (6)

→ M•• C•••••• M••••••••• L••Registered adviserregistration: current employment
Oct 26, 2020 to presentfactForm ADV
→ B••••••• I••••••••• S•••••••• I••• •••••Registered adviserregistration: previous registration
Mar 21, 2018 to Sep 18, 2020factForm ADV
→ C••••••• S•••••••••Registered adviserregistration: previous registration
Nov 15, 2016 to Mar 16, 2018factForm ADV
→ S•••••••• A••••••• L••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:6f3691c1-1bb6-c908-53a9-573a6f743010
First observed: Jul 8, 1997
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.