DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)25 years in industry

M••••• L•• A•••••••

Advisor at M•••• F•••••••• A•••••••

CHARLOTTE, NC | ALPHARETTA, GA

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Search this name across graphsid dfx:ria:9d6bdf08-fc0e-a26c-0cb8-bf0f66995e1a

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:42 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Jun 13, 2003 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: M•••• F•••••••• A•••••••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Jul 26, 2001earliest registration or exam on IAPD
Years in industry: 25derivedfrom 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
M•••• F•••••••• A•••••••	Bd affiliated wealth	Nov 14, 2016	n/a	yes	ALPHARETTA, GA\|CHARLOTTE, NC	Current employment
U•••• F•••••••• S••••••• G••••• I•••	n/a	Feb 12, 2008	Dec 31, 2011	no	CHARLOTTE, NC\|CHARLOTTE, NC

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
L•• F•••••••• L••	U•••• F•••••••• S••••••• G••••• I•••	Jul 14, 2015	Feb 12, 2008	-2,709	Firm change after gap	Other
U•••• F•••••••• S••••••• G••••• I•••	M•••• F•••••••• A•••••••	Dec 31, 2011	Nov 14, 2016

Relationships

Registered with (3)

→ M•••• F•••••••• A•••••••Registered adviserregistration: current employment
Nov 14, 2016 to presentfactForm ADV
→ L•• F•••••••• L••Registered adviserregistration: previous registration
Jun 13, 2003 to Jul 14, 2015factForm ADV
→ U•••• F•••••••• S••••••• G••••• I•••Registered adviserregistration: previous registration
Feb 12, 2008 to Dec 31, 2011factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:9d6bdf08-fc0e-a26c-0cb8-bf0f66995e1a
First observed: Jun 13, 2003
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.