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E••••• R••••• C•••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)43 years in industry

E••••• R••••• C•••

Advisor at M••••• S••••••

Rapid City, SD

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Search this name across graphsid dfx:ria:a7f6cae2-0d57-9745-c264-efe49ddb41c4

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 11:00 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Sep 14, 1999 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••••• S••••••
Current firm class: wirehousederived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jul 19, 1983earliest registration or exam on IAPD
Years in industry: 43derivedfrom the industry start date
Years at current firm: 15derivedfrom the current registration's begin date
Prior firms: 2

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••••• S••••••	Wirehouse	Sep 16, 2011	n/a	yes	Rapid City, SD	Current employment
U•• F•••••••• S••••••• I•••	Wirehouse	Aug 12, 2006	Sep 14, 2011	no	RAPID CITY, SD

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
U•• F•••••••• S••••••• I•••	M••••• S••••••	Sep 14, 2011	Sep 16, 2011	2	Firm change	Wirehouse to wirehouse
P•••• S•••••• • C••	U•• F•••••••• S••••••• I•••	Aug 12, 2006

Relationships

Registered with (3)

→ M••••• S••••••Registered adviserregistration: current employment
Sep 16, 2011 to presentfactForm ADV
→ U•• F•••••••• S••••••• I•••Registered adviserregistration: previous registration
Aug 12, 2006 to Sep 14, 2011factForm ADV
→ P•••• S•••••• • C••Registered adviserregistration: previous registration
Sep 14, 1999 to Aug 12, 2006factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:a7f6cae2-0d57-9745-c264-efe49ddb41c4
First observed: Sep 14, 1999
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.