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

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RIA / WealthAdvisordual registered (broker-dealer)21 years in industry

T•••••• M• R••••••

Advisor at M••••• S••••••

PURCHASE, NY | Mather, CA

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Search this name across graphsid dfx:ria:ab7f12f5-dc60-958d-4c7f-20bdbf02dbf4

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:07 AM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 1
On other graphs: 0
Observed: Sep 27, 2007 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 18, 2005earliest registration or exam on IAPD
Years in industry: 21derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 8

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	Apr 17, 2023	n/a	yes	PURCHASE, NY\|Mather, CA	Current employment
A••••• A•• P••••••• S•••••••	Bd affiliated wealth	Mar 2, 2020	Mar 24, 2023	no

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
A••••• A•• P••••••• S•••••••	M••••• S••••••	Mar 24, 2023	Apr 17, 2023	24	Firm change	Ibd to wirehouse
B••• S••••••••• L••	A••••• A•• P••••••• S•••••••	Feb 28, 2020

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
7691:142785:NC:2019-03-13	Mar 26, 2019	Apr 2, 2019	CHARLOTTE, NC	Firm change
19616:7691:CA:2015-10-02	Oct 2, 2015	Oct 9, 2015	SANTA ROSA, CA	Firm change

Relationships

Registered with (9)

→ M••••• S••••••Registered adviserregistration: current employment
Apr 17, 2023 to presentfactForm ADV
→ A••••• A•• P••••••• S•••••••Registered adviserregistration: previous registration
Mar 2, 2020 to Mar 24, 2023factForm ADV
→ B••• S••••••••• L••Registered adviserregistration: previous registration
Apr 2, 2019 to Feb 28, 2020factForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••

Dated events

Occurred
Mar 24, 2023
Advisor changed firm
T•••••• M• R•••••• left A••••• A•• P••••••• S••••••• for M••••• S•••••• (registered 2023-04-17)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:ab7f12f5-dc60-958d-4c7f-20bdbf02dbf4
First observed: Sep 27, 2007
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.