DFX Intelligence

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

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RIA / WealthAdvisor28 years in industry

M•••• M•••••• U•••••

Advisor at S••••••••• W•••••

La Verne, CA | SUMMIT, NJ

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Search this name across graphsid dfx:ria:dc6a323c-7dff-155a-a9fb-cd9c6005df7c

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 2:03 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jan 28, 2000 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: S••••••••• W•••••
Current firm class: mixed wealth managerderived
Book size: not public••• Locked
Industry start: Dec 15, 1997earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S••••••••• W•••••	Mixed wealth	Feb 13, 2025	n/a	yes	La Verne, CA\|SUMMIT, NJ	Current employment
L•••••• A•••• M•••••••••	Former SEC adviser	Nov 3, 2020	Feb 14, 2025	no	La Verne, CA\|SAN DIEGO, CA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
L•••••• A•••• M•••••••••	S••••••••• W•••••	Feb 14, 2025	Feb 13, 2025	-1	Bulk transfer	Other
V••• F•••••••• A•••••••• I•••	L•••••• A•••• M•••••••••	Nov 3, 2020	Nov 3, 2020

Relationships

Registered with (4)

→ S••••••••• W•••••Registered adviserregistration: current employment
Feb 13, 2025 to presentfactForm ADV
→ L•••••• A•••• M•••••••••Registered adviserregistration: previous registration
Nov 3, 2020 to Feb 14, 2025factForm ADV
→ V••• F•••••••• A•••••••• I•••Registered adviserregistration: previous registration
Jan 28, 2010 to Nov 3, 2020factForm ADV
→ S••••••••• S••••••••• I•••Registered adviser

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:dc6a323c-7dff-155a-a9fb-cd9c6005df7c
First observed: Jan 28, 2000
Last observed: Sep 15, 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.