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

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RIA / WealthAdvisordual registered (broker-dealer)20 years in industry

A••• A••••

Advisor at M••••• S••••••

PHOENIX, AZ

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Search this name across graphsid dfx:ria:86a912c2-1f01-eb4a-6201-7d2095290005

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 10:46 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Sep 9, 2011 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••••• S••••••
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: Oct 18, 2005earliest registration or exam on IAPD
Years in industry: 20derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 2

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••••• S••••••	Wirehouse	Feb 10, 2022	n/a	yes	PHOENIX, AZ	Current employment
J••• M••••• S••••••••• L••	Wirehouse	Oct 1, 2012	Feb 11, 2022	no	HOUSTON, TX\|HOUSTON, TX\|PHOENIX, AZ\|SUGARLAND, TX\|SUGAR LAND, TX

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
J••• M••••• S••••••••• L••	M••••• S••••••	Feb 11, 2022	Feb 10, 2022	-1	Firm change	Wirehouse to wirehouse
C•••• I••••••••• S••••••• C••••	J••• M••••• S••••••••• L••	Oct 1, 2012

Relationships

Registered with (3)

→ M••••• S••••••Registered adviserregistration: current employment
Feb 10, 2022 to presentfactForm ADV
→ J••• M••••• S••••••••• L••Registered adviserregistration: previous registration
Oct 1, 2012 to Feb 11, 2022factForm ADV
→ C•••• I••••••••• S••••••• C••••Registered adviserregistration: previous registration
Sep 9, 2011 to Oct 1, 2012factForm ADV

Dated events

Occurred
Feb 11, 2022
Advisor changed firm
A••• A•••• left J••• M••••• S••••••••• L•• for M••••• S•••••• (registered 2022-02-10)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:86a912c2-1f01-eb4a-6201-7d2095290005
First observed: Sep 9, 2011
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.