DFX Intelligence

S•••• M• W•••••••••: 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)30 years in industry

S•••• M• W•••••••••

Advisor at M•••••• L••••• P•••••• F••••• • S•••• I•••••••••

LOS ANGELES, CA

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:91e80472-3476-f889-312c-baf99bbaad25

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 2:44 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 2
On other graphs: 0
Observed: Nov 14, 2008 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•••••• L••••• P•••••• F••••• • S•••• I•••••••••
Current firm class: wirehousederived
Book size: not public••• Locked
Industry start: Jul 22, 1996earliest registration or exam on IAPD
Years in industry: 30derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 6

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	Wirehouse	Jan 10, 2025	n/a	yes	LOS ANGELES, CA	Current employment
T•• O•• R•••• F•••••••• S••••••• G••••• I••	Independent wealth	Mar 31, 2023	Dec 16, 2024	no	Playa Del Rey, CA\|GOLDEN VALLEY, MN

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
T•• O•• R•••• F•••••••• S••••••• G••••• I••	M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	Dec 16, 2024	Jan 10, 2025	25	Firm change	RIA to wirehouse
W••••••• C••••••• I•••	T•• O•• R•••• F•••••••• S••••••• G••••• I••	Mar 30, 2023

Relationships

Registered with (6)

→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Registered adviserregistration: current employment
Jan 10, 2025 to presentfactForm ADV
→ T•• O•• R•••• F•••••••• S••••••• G••••• I••Registered adviserregistration: previous registration
Mar 31, 2023 to Dec 16, 2024factForm ADV
→ W••••••• C••••••• I•••Registered adviserregistration: previous registration
Jun 5, 2018 to Mar 30, 2023factForm ADV
→ N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••

Dated events

Occurred
Dec 16, 2024
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Mar 30, 2023
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:91e80472-3476-f889-312c-baf99bbaad25
First observed: Nov 14, 2008
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.