DFX Intelligence

M•••••• C••• S••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorChartered Financial Analyst24 years in industry

M•••••• C••• S••••••

Advisor at L••• I••••••••• C••••••

PASADENA, CA

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Search this name across graphsid dfx:ria:9150dcc3-195b-5ab5-432e-7702608b7810

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 1:02 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Sep 16, 2003 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: L••• I••••••••• C••••••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Sep 11, 2002earliest registration or exam on IAPD
Years in industry: 24derivedfrom the industry start date
Years at current firm: 15derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
L••• I••••••••• C••••••	Independent wealth	Jan 4, 2011	n/a	yes	PASADENA, CA	Current employment
M••••• S••••••	Wirehouse	Jun 1, 2009	Aug 5, 2009	no	Woodland Hills, CA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M••••• S••••••	L••• I••••••••• C••••••	Aug 5, 2009	Jan 4, 2011	517	Firm change after gap	Other
M••••• S•••••• • C•• L••	M••••• S••••••	Jun 1, 2009	Jun 1, 2009

Relationships

Registered with (4)

→ L••• I••••••••• C••••••Registered adviserregistration: current employment
Jan 4, 2011 to presentfactForm ADV
→ M••••• S••••••Registered adviserregistration: previous registration
Jun 1, 2009 to Aug 5, 2009factForm ADV
→ M••••• S•••••• • C•• L••Registered adviserregistration: previous registration
Apr 2, 2007 to Jun 1, 2009factForm ADV
→ M••••• S•••••• D• I•••Registered adviserregistration: previous registration

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:9150dcc3-195b-5ab5-432e-7702608b7810
First observed: Sep 16, 2003
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.