DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)24 years in industry

T•••• L•• B••••••

Advisor at M••••• S••••••

Santa Rosa, CA

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Search this name across graphsid dfx:ria:d30b6785-a3a1-f7d4-a71d-b9470f9aedfc

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 5:33 AM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 0
On other graphs: 0
Observed: Jul 20, 2005 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••••• S••••••
Current firm class: wirehousederived
Book size: not public••• Locked
Industry start: Jul 26, 2002earliest registration or exam on IAPD
Years in industry: 24derivedfrom the industry start date
Years at current firm: 6derivedfrom the current registration's begin date
Prior firms: 8

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
M••••• S••••••	Wirehouse	Oct 28, 2019	n/a	yes	Santa Rosa, CA	Current employment
W•••• F•••• A•••••••	Wirehouse	May 27, 2016	Nov 4, 2019	no	AUSTIN, TX\|AUSTIN, TX\|SANTA ROSA, CA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
W•••• F•••• A•••••••	M••••• S••••••	Nov 4, 2019	Oct 28, 2019	-7	Firm change	Wirehouse to wirehouse
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	W•••• F•••• A•••••••	May 31, 2016	May 27, 2016

Team moves

••• Locked

Team	Left	Joined	From	Kind
19616:149777:CA:2019-11-04	Nov 4, 2019	Oct 28, 2019	SANTA ROSA, CA	Firm change

Relationships

Registered with (6)

→ M••••• S••••••Registered adviserregistration: current employment
Oct 28, 2019 to presentfactForm ADV
→ W•••• F•••• A•••••••Registered adviserregistration: previous registration
May 27, 2016 to Nov 4, 2019factForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Registered adviserregistration: previous registration
Dec 5, 2014 to May 31, 2016factForm ADV
→ U•• F•••••••• S••••••• I•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:d30b6785-a3a1-f7d4-a71d-b9470f9aedfc
First observed: Jul 20, 2005
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.