DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Planner21 years in industry

S•••••• R• G••••••

Advisor at M•••••• W••••• M••••••••• L•

Thousand Oaks, CA | SANTA BARBARA, CA

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Search this name across graphsid dfx:ria:d378d5bc-f057-ef9d-7583-e9e5c7def012

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 5:25 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 1
On other graphs: 0
Observed: Feb 10, 2005 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•••••• W••••• M••••••••• L•
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Nov 1, 2004earliest registration or exam on IAPD
Years in industry: 21derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
M•••••• W••••• M••••••••• L•	Independent wealth	May 12, 2026	n/a	yes	SANTA BARBARA, CA\|Thousand Oaks, CA	Current employment
G•• W••••• M•••••••••	Former SEC adviser	Feb 10, 2005	Jun 18, 2026	no	NEWBURY PARK, CA\|THOUSAND OAKS, CA\|THOUSAND OAKS, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
G•• W••••• M•••••••••	M•••••• W••••• M••••••••• L•	Jun 18, 2026	May 12, 2026	-37	Firm change after gap	RIA to RIA

Relationships

Registered with (2)

→ M•••••• W••••• M••••••••• L•Registered adviserregistration: current employment
May 12, 2026 to presentfactForm ADV
→ G•• W••••• M•••••••••Registered adviserregistration: previous registration
Feb 10, 2005 to Jun 18, 2026factForm ADV

Dated events

Occurred
Jun 18, 2026
Advisor changed firm
S•••••• R• G•••••• left G•• W••••• M••••••••• for M•••••• W••••• M••••••••• L• (registered 2026-05-12)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:d378d5bc-f057-ef9d-7583-e9e5c7def012
First observed: Feb 10, 2005
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.