DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)19 years in industry

C••••••••• M•••••••• S••••

Advisor at M•• I•••••••• S•••••••• L••

NEWPORT BEACH, CA

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Search this name across graphsid dfx:ria:e1c877de-0e03-490c-f63b-5c832562a379

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 3:59 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jan 22, 2008 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•• I•••••••• S•••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: May 14, 2007earliest registration or exam on IAPD
Years in industry: 19derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
M•• I•••••••• S•••••••• L••	Bd affiliated wealth	Nov 22, 2021	n/a	yes	NEWPORT BEACH, CA	Current employment
P••• A••••• S••••••••• L••	Bd affiliated wealth	Oct 28, 2019	Nov 4, 2021	no	IRVINE, CA\|SAN DIEGO, CA\|COSTA MESA, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
P••• A••••• S••••••••• L••	M•• I•••••••• S•••••••• L••	Nov 4, 2021	Nov 22, 2021	18	Firm change	Ibd to ibd
M•• I•••••••• S•••••••• L••	P••• A••••• S••••••••• L••	Oct 16, 2019	Oct 28, 2019

Relationships

Registered with (3)

→ M•• I•••••••• S•••••••• L••Registered adviserregistration: previous registration
Mar 2, 2010 to Oct 16, 2019factForm ADV
→ P••• A••••• S••••••••• L••Registered adviserregistration: previous registration
Oct 28, 2019 to Nov 4, 2021factForm ADV
→ N••••••••• M••••• I••••••••• S•••••••••Registered adviserregistration: previous registration
Jan 22, 2008 to Feb 16, 2010factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:e1c877de-0e03-490c-f63b-5c832562a379
First observed: Jan 22, 2008
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.