DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)27 years in industry

G•••••• R••••• S•••

Advisor at M••••• S••••••

Agoura Hills, CA | Beverly Hills, CA

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Search this name across graphsid dfx:ria:8978a9ee-828d-f513-26c4-5bad19ae609c

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 2:46 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Jul 6, 2004 to Sep 15, 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 public••• Locked
Industry start: Jun 22, 1999earliest registration or exam on IAPD
Years in industry: 27derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
M••••• S••••••	Wirehouse	Mar 25, 2022	n/a	yes	Agoura Hills, CA\|Beverly Hills, CA	Current employment
S•••••• N••••••• • C••••••• I•••••••••	National bd RIA	Nov 3, 2011	Mar 28, 2022	no	LOS ANGELES, CA\|SANTA BARBARA, CA\|LOS ANGELES, CA\|SANTA BARBARA, CA\|LOS ANGELES, CA\|SANTA BARBARA, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
S•••••• N••••••• • C••••••• I•••••••••	M••••• S••••••	Mar 28, 2022	Mar 25, 2022	-3	Firm change	Ibd to wirehouse
S•••• • Y•••••••• L••	S•••••• N••••••• • C••••••• I•••••••••	Nov 2, 2011	Nov 3, 2011

Team moves

••• Locked

Team	Left	Joined	From	Kind
793:149777:CA:2022-03-28	Mar 28, 2022	Mar 25, 2022	SANTA BARBARA, CA	Firm change

Relationships

Registered with (3)

→ M••••• S••••••Registered adviserregistration: current employment
Mar 25, 2022 to presentfactForm ADV
→ S•••••• N••••••• • C••••••• I•••••••••Registered adviserregistration: previous registration
Nov 3, 2011 to Mar 28, 2022factForm ADV
→ S•••• • Y•••••••• L••Registered adviserregistration: previous registration
Jul 6, 2004 to Nov 2, 2011factForm ADV

Dated events

Occurred
Mar 28, 2022
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:8978a9ee-828d-f513-26c4-5bad19ae609c
First observed: Jul 6, 2004
Last observed: Sep 15, 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.