DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)18 years in industry

M••••••• L• B•••••

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

••• Locked

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Search this name across graphsid dfx:ria:c3e9c31e-d7a7-ad5f-3565-a091c2a39ed3

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 3:42 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Sep 25, 2007 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: Sep 25, 2007earliest registration or exam on IAPD
Years in industry: 18derivedfrom the industry start date
Years at current firm: 0derivedfrom 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	Jun 2, 2026	n/a	yes	NEW YORK, NY\|WEST DES MOINES, IA	Current employment
I••••••••• C•••••• O• A••••••• I•••	Former SEC adviser	Feb 2, 2010	Apr 4, 2011	no	WEST DES MOINES, IA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
I••••••••• C•••••• O• A••••••• I•••	M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	Apr 4, 2011	Jun 2, 2026	5,538	Firm change after gap	Other
D••••• C•••••• M•••••••••	I••••••••• C•••••• O• A••••••• I•••	Oct 6, 2008	Feb 2, 2010

Relationships

Registered with (3)

→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Registered adviserregistration: current employment
Jun 2, 2026 to presentfactForm ADV
→ I••••••••• C•••••• O• A••••••• I•••Registered adviserregistration: previous registration
Feb 2, 2010 to Apr 4, 2011factForm ADV
→ D••••• C•••••• M•••••••••Registered adviserregistration: previous registration
Sep 25, 2007 to Oct 6, 2008factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:c3e9c31e-d7a7-ad5f-3565-a091c2a39ed3
First observed: Sep 25, 2007
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.