DFX Intelligence

Data Factory

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

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthAdvisordual registered (broker-dealer)31 years in industry

M•••• A••••• L••••

Advisor at A••••• A•• P••••••• S•••••••

Charlotte, NC | CHARLOTTE, NC

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:8ccb215b-de29-8015-cf4c-33d026ae1e93

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 2:04 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 3
On other graphs: 0
Observed: Sep 9, 2002 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: A••••• A•• P••••••• S•••••••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jul 27, 1995earliest registration or exam on IAPD
Years in industry: 31derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms

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
A••••• A•• P••••••• S•••••••	Bd affiliated wealth	Jul 29, 2026	n/a	yes	CHARLOTTE, NC\|Charlotte, NC	Current employment
T•• I••••••••• A•••• M••••••••• L••	Independent wealth	Jul 15, 2025	Jul 7, 2026	no

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
T•• I••••••••• A•••• M••••••••• L••	A••••• A•• P••••••• S•••••••	Jul 7, 2026	Jul 29, 2026	22	Firm change	RIA to ibd
M••••• S••••••	T•• I••••••••• A•••• M••••••••• L••	May 28, 2025

Relationships

Registered with (5)

→ A••••• A•• P••••••• S•••••••Registered adviserregistration: previous registration
Apr 28, 2008 to Oct 14, 2024factForm ADV
→ T•• I••••••••• A•••• M••••••••• L••Registered adviserregistration: previous registration
Jul 15, 2025 to Jul 7, 2026factForm ADV
→ M••••• S••••••Registered adviserregistration: previous registration
Feb 27, 2025 to May 28, 2025factForm ADV
→ C•••••• S••••• • C••• I•••

Dated events

Occurred
Jul 7, 2026
Advisor changed firm
M•••• A••••• L•••• left T•• I••••••••• A•••• M••••••••• L•• for A••••• A•• P••••••• S••••••• (registered 2026-07-29)
Form ADVobserved 6 days ago
Occurred
May 28, 2025
Advisor changed firm
M•••• A••••• L•••• left M••••• S•••••• for T•• I••••••••• A•••• M••••••••• L•• (registered 2025-07-15)
Form ADVobserved 6 days ago
Occurred
Oct 14, 2024
Advisor changed firm
M•••• A••••• L•••• left A••••• A•• P••••••• S••••••• for M••••• S•••••• (registered 2025-02-27)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:8ccb215b-de29-8015-cf4c-33d026ae1e93
First observed: Sep 9, 2002
Last observed: Sep 15, 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.