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

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RIA / WealthAdvisordual registered (broker-dealer)40 years in industry

S•••• M••••

Advisor at M••••••••• A••••••• G••••

SAN JUAN CAPISTRANO, CA

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Search this name across graphsid dfx:ria:c453d911-93c6-0f35-6f2c-772a1c1c015b

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 1:02 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Jul 8, 1997 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: M••••••••• A••••••• G••••
Current firm class: state registeredderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jan 30, 1986earliest registration or exam on IAPD
Years in industry: 40derivedfrom the industry start date
Years at current firm: 27derivedfrom 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
M••••••••• A••••••• G••••	State registered	May 26, 1999	n/a	yes	SAN JUAN CAPISTRANO, CA	Current employment
F•• S••••••••• C•••••••••	Former SEC adviser	Jul 8, 1997	Aug 19, 2011	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
F•• S••••••••• C•••••••••	M••••••••• A••••••• G••••	Aug 19, 2011	May 26, 1999	-4,468	Firm change after gap	Other

Relationships

Registered with (2)

→ M••••••••• A••••••• G••••Registered adviserregistration: current employment
May 26, 1999 to presentfactForm ADV
→ F•• S••••••••• C•••••••••Registered adviserregistration: previous registration
Jul 8, 1997 to Aug 19, 2011factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:c453d911-93c6-0f35-6f2c-772a1c1c015b
First observed: Jul 8, 1997
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.