DFX Intelligence

R••••• D•••• H••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)32 years in industry

R••••• D•••• H••••••

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

••• Locked

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Search this name across graphsid dfx:ria:b4bcb39d-baf1-a6ab-7dc3-cdb007d34b6f

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:32 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Jul 8, 1997 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: May 20, 1994earliest registration or exam on IAPD
Years in industry: 32derivedfrom the industry start date
Years at current firm: 16derivedfrom 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	Oct 23, 2009	n/a	yes	RANCHO SANTA FE, CA\|BOZEMAN, MT\|Big Sky, MT	Current employment
B••• O• A•••••• I••••••••• S•••••••• I•••	n/a	Nov 14, 2003	Oct 23, 2009	no	CARLSBAD, CA\|FALLBROOK, CA\|BONSALL, CA\|BONSALL, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
B••• O• A•••••• I••••••••• S•••••••• I•••	M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	Oct 23, 2009	Oct 23, 2009	0	Bulk transfer	Other
M••••• S•••••• D• I•••	B••• O• A•••••• I••••••••• S•••••••• I•••	Nov 18, 2003	Nov 14, 2003

Relationships

Registered with (3)

→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Registered adviserregistration: current employment
Oct 23, 2009 to presentfactForm ADV
→ B••• O• A•••••• I••••••••• S•••••••• I•••Registered adviserregistration: previous registration
Nov 14, 2003 to Oct 23, 2009factForm ADV
→ M••••• S•••••• D• I•••Registered adviserregistration: previous registration
Jul 8, 1997 to Nov 18, 2003factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b4bcb39d-baf1-a6ab-7dc3-cdb007d34b6f
First observed: Jul 8, 1997
Last observed: Sep 15, 2026 7 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.