DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)24 years in industry

M•••• C••••••• Y••••

Advisor at L•••

New Albany, OH | LOS ANGELES, CA

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Search this name across graphsid dfx:ria:95533e5e-9165-98ef-e142-e7756c8cd39a

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 3:19 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 2
On other graphs: 0
Observed: Aug 26, 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: L•••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Aug 26, 2002earliest registration or exam on IAPD
Years in industry: 24derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
L•••	Independent wealth	Oct 10, 2024	n/a	yes	New Albany, OH\|LOS ANGELES, CA	Current employment
S•••• M••••• Y•••• W••••• S•••••••••	Former SEC adviser	Oct 16, 2018	Nov 13, 2024	no	NEW ALBANY, OH	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
S•••• M••••• Y•••• W••••• S•••••••••	L•••	Nov 13, 2024	Oct 10, 2024	-34	Firm change after gap	RIA to RIA
C•••••• A•••••••	S•••• M••••• Y•••• W••••• S•••••••••	Oct 4, 2024	Oct 16, 2018

Team moves

••• Locked

Team	Left	Joined	From	Kind
298682:269866:OH:2024-11-13	Nov 13, 2024	Oct 10, 2024	NEW ALBANY, OH	Firm change after gap
162200:298682:OH:2024-10-04	Oct 4, 2024	Oct 16, 2018	WORTHINGTON, OH	Firm change after gap

Relationships

Registered with (6)

→ L•••Registered adviserregistration: current employment
Oct 10, 2024 to presentfactForm ADV
→ S•••• M••••• Y•••• W••••• S•••••••••Registered adviserregistration: previous registration
Oct 16, 2018 to Nov 13, 2024factForm ADV
→ C•••••• A•••••••Registered adviserregistration: previous registration
Dec 6, 2012 to Oct 4, 2024factForm ADV
→ C••••••••• A•••••••• I••

Dated events

Occurred
Nov 13, 2024
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Oct 4, 2024
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:95533e5e-9165-98ef-e142-e7756c8cd39a
First observed: Aug 26, 2002
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.