DFX Intelligence

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

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthAdvisordual registered (broker-dealer)25 years in industry

M•••••• M••••• R•••••••••

Advisor at A••••••••• F•••••••• S•••••••• L••

WALNUT CREEK, CA | Danville, CA

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:c0d79d3a-7093-66c8-48b4-e458e7a15cdc

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:17 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Feb 21, 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: A••••••••• F•••••••• S•••••••• L••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Dec 27, 2000earliest registration or exam on IAPD
Years in industry: 25derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
A••••••••• F•••••••• S•••••••• L••	National bd RIA	Oct 5, 2018	n/a	yes	WALNUT CREEK, CA\|Danville, CA	Current employment
M••••• S••••••	Wirehouse	Jun 1, 2009	Oct 9, 2018	no	Walnut Creek, CA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M••••• S••••••	A••••••••• F•••••••• S•••••••• L••	Oct 9, 2018	Oct 5, 2018	-4	Firm change	Wirehouse to ibd
M••••• S•••••• • C•• L••	M••••• S••••••	Jun 1, 2009	Jun 1, 2009

Team moves

••• Locked

Team	Left	Joined	From	Kind
149777:6363:CA:2018-10-09	Oct 9, 2018	Oct 5, 2018	WALNUT CREEK, CA	Firm change

Relationships

Registered with (4)

→ A••••••••• F•••••••• S•••••••• L••Registered adviserregistration: current employment
Oct 5, 2018 to presentfactForm ADV
→ M••••• S••••••Registered adviserregistration: previous registration
Jun 1, 2009 to Oct 9, 2018factForm ADV
→ M••••• S•••••• • C•• L••Registered adviserregistration: previous registration
Apr 27, 2007 to Jun 1, 2009factForm ADV
→ C•••••••• G••••• M•••••• I•••Registered adviser

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:c0d79d3a-7093-66c8-48b4-e458e7a15cdc
First observed: Feb 21, 2001
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.