DFX Intelligence

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

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthAdvisordual registered (broker-dealer)24 years in industry

D•••• M•••••• M•••••

Advisor at A••••••••• F•••••••• S•••••••• L••

Plano, TX | Frisco, TX

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:e649253e-c21b-f124-74ac-345ed980180b

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:51 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Nov 7, 2001 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: A••••••••• F•••••••• S•••••••• L••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Nov 6, 2001earliest registration or exam on IAPD
Years in industry: 24derivedfrom the industry start date
Years at current firm: 9derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
A••••••••• F•••••••• S•••••••• L••	National bd RIA	Aug 16, 2017	n/a	yes	Plano, TX\|Frisco, TX	Current employment
M•• I•••••••• S•••••••• L••	Bd affiliated wealth	Mar 25, 2017	Jul 21, 2017	no	BOSTON, MA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M•• I•••••••• S•••••••• L••	A••••••••• F•••••••• S•••••••• L••	Jul 21, 2017	Aug 16, 2017	26	Firm change	Other
M••••••	M•• I•••••••• S•••••••• L••	Jul 18, 2017	Mar 25, 2017

Team moves

••• Locked

Team	Left	Joined	From	Kind
14251:151664:MA:2017-03-25	Mar 25, 2017	Jul 6, 2015	BOSTON, MA	Firm change after gap

Relationships

Registered with (4)

→ A••••••••• F•••••••• S•••••••• L••Registered adviserregistration: previous registration
Nov 7, 2001 to Dec 12, 2014factForm ADV
→ M•• I•••••••• S•••••••• L••Registered adviserregistration: previous registration
Mar 25, 2017 to Jul 21, 2017factForm ADV
→ M••••••Registered adviserregistration: previous registration
Jul 6, 2015 to Jul 18, 2017factForm ADV
→ M•• F•••••••• S•••••••• I•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:e649253e-c21b-f124-74ac-345ed980180b
First observed: Nov 7, 2001
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.