DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)38 years in industry

M•••• S•••••• P••••

Advisor at P••••••• F•••••••• S•••••••• I•••

Boca Raton, FL

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Search this name across graphsid dfx:ria:c064f34c-dab9-6c3c-91f2-0b90d28276e8

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 10:44 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Nov 19, 2001 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: P••••••• F•••••••• S•••••••• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Jul 11, 1988earliest registration or exam on IAPD
Years in industry: 38derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
P••••••• F•••••••• S•••••••• I•••	Bd affiliated wealth	May 16, 2025	n/a	yes	Boca Raton, FL	Current employment
C••••• • C••••••• I•••	Former SEC adviser	Mar 31, 2006	May 16, 2025	no	BALLWIN, MO\|WILDWOOD, MO\|WILDWOOD, MO\|Fort Lauderdale, FL\|BOCA RATON, FL

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C••••• • C••••••• I•••	P••••••• F•••••••• S•••••••• I•••	May 16, 2025	May 16, 2025	0	Bulk transfer	RIA to ibd
I•••• A•••• M•••••••••	M••••••• C••••••• I•••	Dec 31, 2009	Jun 27, 2003

Relationships

Registered with (4)

→ P••••••• F•••••••• S•••••••• I•••Registered adviserregistration: current employment
May 16, 2025 to presentfactForm ADV
→ C••••• • C••••••• I•••Registered adviserregistration: previous registration
Mar 31, 2006 to May 16, 2025factForm ADV
→ I•••• A•••• M•••••••••Registered adviserregistration: previous registration
Nov 19, 2001 to Dec 31, 2009factForm ADV
→ M••••••• C••••••• I•••Registered adviserregistration: previous registration

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:c064f34c-dab9-6c3c-91f2-0b90d28276e8
First observed: Nov 19, 2001
Last observed: Sep 14, 2026 9 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.