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

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RIA / WealthAdvisordual registered (broker-dealer)35 years in industry

M•••• M••••••• C•••

Advisor at S•••••• P••••••• I••••••••• A•••••••• L••

Battle Ground, WA | LAKE OSWEGO, OR | STAMFORD, CT

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Search this name across graphsid dfx:ria:b980e868-55e9-edf8-7794-a861b3b21afc

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:00 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Feb 1, 2006 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: S•••••• P••••••• I••••••••• A•••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jul 23, 1991earliest registration or exam on IAPD
Years in industry: 35derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms

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
S•••••• P••••••• I••••••••• A•••••••• L••	Bd affiliated wealth	Jul 12, 2023	n/a	yes	Battle Ground, WA\|LAKE OSWEGO, OR\|STAMFORD, CT	Current employment
R•• C•••••• M••••••• L••	National bd RIA	Jan 25, 2011	Aug 18, 2015	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
R•• C•••••• M••••••• L••	S•••••• P••••••• I••••••••• A•••••••• L••	Aug 18, 2015	Jul 12, 2023	2,885	Firm change after gap	Ibd to ibd
U•• F•••••••• S••••••• I•••	R•• C•••••• M••••••• L••	Jan 31, 2011

Relationships

Registered with (5)

→ S•••••• P••••••• I••••••••• A•••••••• L••Registered adviserregistration: current employment
Jul 12, 2023 to presentfactForm ADV
→ R•• C•••••• M••••••• L••Registered adviserregistration: previous registration
Jan 25, 2011 to Aug 18, 2015factForm ADV
→ U•• F•••••••• S••••••• I•••Registered adviserregistration: previous registration
Oct 18, 2007 to Jan 31, 2011factForm ADV
→ P••••••• • C••••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b980e868-55e9-edf8-7794-a861b3b21afc
First observed: Feb 1, 2006
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.