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D•••• F•••••••• M•••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisor40 years in industry

D•••• F•••••••• M•••

Advisor at M••• A•• A•••••••••

MODESTO, CA

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Search this name across graphsid dfx:ria:923eb937-2ea2-7873-9308-6094e6b5efb6

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 9:40 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jul 8, 1997 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••• A•• A•••••••••
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Dec 4, 1985earliest registration or exam on IAPD
Years in industry: 40derivedfrom the industry start date
Years at current firm: 14derivedfrom 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
M••• A•• A•••••••••	Independent wealth	Oct 24, 2011	n/a	yes	MODESTO, CA	Current employment
C•••••• W••••• M•••••••••	Former SEC adviser	Oct 8, 2007	Nov 28, 2011	no	SAN JOSE, CA\|MODESTO, CA

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
C•••••• W••••• M•••••••••	M••• A•• A•••••••••	Nov 28, 2011	Oct 24, 2011	-35	Firm change after gap	Other
M••••• S•••••• • C•• L••	C•••••• W••••• M•••••••••	Oct 11, 2007

Relationships

Registered with (4)

→ M••• A•• A•••••••••Registered adviserregistration: current employment
Oct 24, 2011 to presentfactForm ADV
→ C•••••• W••••• M•••••••••Registered adviserregistration: previous registration
Oct 8, 2007 to Nov 28, 2011factForm ADV
→ M••••• S•••••• • C•• L••Registered adviserregistration: previous registration
Apr 2, 2007 to Oct 11, 2007factForm 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:923eb937-2ea2-7873-9308-6094e6b5efb6
First observed: Jul 8, 1997
Last observed: Sep 14, 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.