DFX Intelligence

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

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RIA / WealthAdvisor32 years in industry

M•••••• L•• A•••••

Advisor at F•••••••• C•••••• M••••••••• L••

SAN FRANCISCO, CA | SEATTLE, WA

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 3:05 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: May 10, 1999 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: F•••••••• C•••••• M••••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Jun 8, 1994earliest registration or exam on IAPD
Years in industry: 32derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
F•••••••• C•••••• M••••••••• L••	Independent wealth	May 17, 2019	n/a	yes	SAN FRANCISCO, CA\|SEATTLE, WA	Current employment
S••••• I••••••••• L••	Mixed wealth	Jul 28, 2011	May 15, 2019	no	LOS GATOS, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
S••••• I••••••••• L••	F•••••••• C•••••• M••••••••• L••	May 15, 2019	May 17, 2019	2	Firm change	RIA to RIA
W•••• F•••• I••••••••• L••	S••••• I••••••••• L••	Jan 3, 2006	Jul 28, 2011

Team moves

••• Locked

Team	Left	Joined	From	Kind
105508:145711:CA:2019-05-15	May 15, 2019	May 17, 2019	LOS GATOS, CA	Firm change

Relationships

Registered with (4)

→ F•••••••• C•••••• M••••••••• L••Registered adviserregistration: current employment
May 17, 2019 to presentfactForm ADV
→ S••••• I••••••••• L••Registered adviserregistration: previous registration
Jul 28, 2011 to May 15, 2019factForm ADV
→ W•••• F•••• I••••••••• L••Registered adviserregistration: previous registration
Dec 15, 2003 to Jan 3, 2006factForm ADV
→ C•••••• S••••• • C••• I•••Registered adviser

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: May 10, 1999
Last observed: Sep 14, 2026 10 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.