DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)30 years in industry

R•••••• M•••••• B••••

Advisor at M••••• S••••••

Palo Alto, CA | San Ramon, CA

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Search this name across graphsid dfx:ria:e18c213d-a923-c90b-6e6e-d27d5277f39a

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 2:24 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Aug 26, 2016 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••••• S••••••
Current firm class: wirehousederived
Book size: not public••• Locked
Industry start: Jan 19, 1996earliest registration or exam on IAPD
Years in industry: 30derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
M••••• S••••••	Wirehouse	Jan 20, 2021	n/a	yes	Palo Alto, CA\|San Ramon, CA	Current employment
T• A••••••••• I••••••••• M••••••••• L••	Former SEC adviser	Aug 26, 2016	Dec 31, 2020	no	San Mateo, CA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
T• A••••••••• I•••	M••••• S••••••	Jan 11, 2021	Jan 20, 2021	9	Firm change	Other
T• A••••••••• I••••••••• M••••••••• L••	T• A••••••••• I•••	Dec 31, 2020	Aug 26, 2016

Relationships

Registered with (3)

→ M••••• S••••••Registered adviserregistration: current employment
Jan 20, 2021 to presentfactForm ADV
→ T• A••••••••• I•••Registered adviserregistration: previous registration
Aug 26, 2016 to Jan 11, 2021factForm ADV
→ T• A••••••••• I••••••••• M••••••••• L••Registered adviserregistration: previous registration
Aug 26, 2016 to Dec 31, 2020factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:e18c213d-a923-c90b-6e6e-d27d5277f39a
First observed: Aug 26, 2016
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.