DFX Intelligence

M•••••• T•••• A•••••: 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)17 years in industry

M•••••• T•••• A•••••

Advisor at C•••••• S••••• • C••• I•••

Raleigh, NC | Lone Tree, CO

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:e820849e-f775-9364-3164-74d64bf9c4b1

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 1:43 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Apr 11, 2018 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: C•••••• S••••• • C••• I•••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Aug 1, 2009earliest registration or exam on IAPD
Years in industry: 17derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C•••••• S••••• • C••• I•••	National bd RIA	Jun 1, 2026	n/a	yes	Lone Tree, CO\|Raleigh, NC	Current employment
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	Wirehouse	Apr 11, 2018	Oct 15, 2018	no	BOISE, ID

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	C•••••• S••••• • C••• I•••	Oct 15, 2018	Jun 1, 2026	2,786	Firm change after gap	Wirehouse to ibd

Relationships

Registered with (2)

→ C•••••• S••••• • C••• I•••Registered adviserregistration: current employment
Jun 1, 2026 to presentfactForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Registered adviserregistration: previous registration
Apr 11, 2018 to Oct 15, 2018factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:e820849e-f775-9364-3164-74d64bf9c4b1
First observed: Apr 11, 2018
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.