DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)13 years in industry

M•••• A•• S•••••••

Advisor at S••••• W••••• A•••••••• I•••

Indianapolis, IN | SAN FRANCISCO, CA

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Search this name across graphsid dfx:ria:d69dda4e-6ec3-321c-bbbe-de16d6dcb0bb

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 6:46 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Jun 9, 2020 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: S••••• W••••• A•••••••• I•••
Current firm class: no raum reportedderived
Book size: not public••• Locked
Industry start: May 1, 2013earliest registration or exam on IAPD
Years in industry: 13derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S••••• W••••• A•••••••• I•••	No RAUM reported	Jul 28, 2025	n/a	yes	SAN FRANCISCO, CA\|Indianapolis, IN	Current employment
R••••••••• C•••••• M•••••••••	Bd affiliated wealth	Mar 1, 2021	Mar 19, 2024	no	OAK BROOK, IL\|Saratoga Springs, NY\|Chicago, IL\|OAK BROOK, IL

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
R••••••••• C•••••• M•••••••••	S••••• W••••• A•••••••• I•••	Mar 19, 2024	Jul 28, 2025	496	Firm change after gap	Other
W••••••• • C•	R••••••••• C•••••• M•••••••••	Mar 16, 2021	Mar 1, 2021

Team moves

••• Locked

Team	Left	Joined	From	Kind
104633:291361:IL:2021-03-15	Mar 16, 2021	Mar 1, 2021	OAK BROOK, IL	Firm change

Relationships

Registered with (3)

→ S••••• W••••• A•••••••• I•••Registered adviserregistration: current employment
Jul 28, 2025 to presentfactForm ADV
→ R••••••••• C•••••• M•••••••••Registered adviserregistration: previous registration
Mar 1, 2021 to Mar 19, 2024factForm ADV
→ W••••••• • C•Registered adviserregistration: previous registration
Jun 9, 2020 to Mar 16, 2021factForm ADV

Dated events

Occurred
Mar 19, 2024
Advisor changed firm
M•••• A•• S••••••• left R••••••••• C•••••• M••••••••• for S••••• W••••• A•••••••• I••• (registered 2025-07-28)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:d69dda4e-6ec3-321c-bbbe-de16d6dcb0bb
First observed: Jun 9, 2020
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.