DFX Intelligence

M•••••• L••• E••••: 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 / WealthAdvisorCertified Financial Planner27 years in industry

M•••••• L••• E••••

Advisor at S••••• M•••••••••

NORTH LITTLE ROCK, AR | Albuquerque, NM

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:9c2be789-01ec-16e8-f3c7-9c20bba832f6

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:25 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Mar 20, 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: S••••• M•••••••••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Dec 3, 1998earliest registration or exam on IAPD
Years in industry: 27derivedfrom the industry start date
Years at current firm: 9derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S••••• M•••••••••	Independent wealth	Aug 31, 2017	n/a	yes	Albuquerque, NM\|NORTH LITTLE ROCK, AR	Current employment
W•• A•••••••• L•	Former SEC adviser	Mar 29, 2010	Aug 29, 2017	no	ALBUUERQUE, NM	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
W•• A•••••••• L•	S••••• M•••••••••	Aug 29, 2017	Aug 31, 2017	2	Firm change	Other
V•••• F•••••••• A•••••••• I•••	W•• A•••••••• L•	Apr 14, 2010	Mar 29, 2010

Relationships

Registered with (3)

→ S••••• M•••••••••Registered adviserregistration: current employment
Aug 31, 2017 to presentfactForm ADV
→ W•• A•••••••• L•Registered adviserregistration: previous registration
Mar 29, 2010 to Aug 29, 2017factForm ADV
→ V•••• F•••••••• A•••••••• I•••Registered adviserregistration: previous registration
Mar 20, 2002 to Apr 14, 2010factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:9c2be789-01ec-16e8-f3c7-9c20bba832f6
First observed: Mar 20, 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.