DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)19 years in industry

S••••• L•••••••••

Advisor at M•••••• L••••• P•••••• F••••• • S•••• I•••••••••

NEWPORT BEACH, CA | STAMFORD, CT

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:ab4f6c38-18ef-822e-24ad-b86dd7c093ce

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:35 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Aug 5, 2015 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•••••• L••••• P•••••• F••••• • S•••• I•••••••••
Current firm class: wirehousederived
Book size: not public••• Locked
Industry start: Apr 1, 2007earliest registration or exam on IAPD
Years in industry: 19derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	Wirehouse	Jun 21, 2019	n/a	yes	STAMFORD, CT\|NEWPORT BEACH, CA	Current employment
B••• S••••••••• I•••	No RAUM reported	May 10, 2019	Jun 28, 2019	no	NEW YORK, NY\|NEWPORT BEACH, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
B••• S••••••••• I•••	M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	Jun 28, 2019	Jun 21, 2019	-7	Channel change	Other
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	B••• S••••••••• I•••	May 10, 2019	May 10, 2019

Team moves

••• Locked

Team	Left	Joined	From	Kind
7691:283942:NY:2019-05-10	May 10, 2019	May 10, 2019	NEW YORK, NY	Firm change

Relationships

Registered with (2)

→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Registered adviserregistration: previous registration
Aug 5, 2015 to May 10, 2019factForm ADV
→ B••• S••••••••• I•••Registered adviserregistration: previous registration
May 10, 2019 to Jun 28, 2019factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:ab4f6c38-18ef-822e-24ad-b86dd7c093ce
First observed: Aug 5, 2015
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.