DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)35 years in industry

D••• M•••••• M••••••••

Advisor at M•• I•••••••• S•••••••• L••

Rockford, IL

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Search this name across graphsid dfx:ria:9a553d67-99a3-fc0e-00d4-95c95dffd60f

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:12 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Nov 8, 2006 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•• I•••••••• S•••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Aug 1, 1991earliest registration or exam on IAPD
Years in industry: 35derivedfrom the industry start date
Years at current firm: 9derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
M•• I•••••••• S•••••••• L••	Bd affiliated wealth	Mar 25, 2017	n/a	yes	Rockford, IL	Current employment
M•• F•••••••• S•••••••• I•••	Former SEC adviser	Nov 8, 2006	Mar 25, 2017	no	ROCKFORD, IL\|WEST BEND, WI

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M•• F•••••••• S•••••••• I•••	M•• I•••••••• S•••••••• L••	Mar 25, 2017	Mar 25, 2017	0	Bulk transfer	Other

Relationships

Registered with (2)

→ M•• I•••••••• S•••••••• L••Registered adviserregistration: current employment
Mar 25, 2017 to presentfactForm ADV
→ M•• F•••••••• S•••••••• I•••Registered adviserregistration: previous registration
Nov 8, 2006 to Mar 25, 2017factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:9a553d67-99a3-fc0e-00d4-95c95dffd60f
First observed: Nov 8, 2006
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.