M•••••• A•••

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

NEWPORT BEACH, CA

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:7dc20d02-c4b2-3401-6e5e-a40d367774cf

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 9:08 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Mar 31, 2014 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 public••• Locked
Industry start: Mar 31, 2014earliest registration or exam on IAPD
Years in industry: 12derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	Wirehouse	May 9, 2024	n/a	yes	NEWPORT BEACH, CA	Current employment
U•••• W••••• P•••••••	Former SEC adviser	Dec 1, 2021	Apr 29, 2024	no	NEWPORT BEACH, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
U•••• W••••• P•••••••	M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	Apr 29, 2024	May 9, 2024	10	Firm change	RIA to wirehouse
C•••• C•••••• S••••••••• L•••	U•••• W••••• P•••••••	Dec 31, 2019	Dec 1, 2021

Team moves

••• Locked

Team	Left	Joined	From	Kind
149777:7691:CA:2016-04-08	Apr 13, 2016	Jun 28, 2016	BREA, CA	Firm change

Relationships

Registered with (4)

→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Registered adviserregistration: previous registration
Jun 28, 2016 to Jan 10, 2018factForm ADV
→ U•••• W••••• P•••••••Registered adviserregistration: previous registration
Dec 1, 2021 to Apr 29, 2024factForm ADV
→ C•••• C•••••• S••••••••• L•••Registered adviserregistration: previous registration
Feb 1, 2018 to Dec 31, 2019factForm ADV
→ M••••• S••••••

Dated events

Occurred
Apr 29, 2024
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:7dc20d02-c4b2-3401-6e5e-a40d367774cf
First observed: Mar 31, 2014
Last observed: Sep 14, 2026 9 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.