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

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RIA / WealthAdvisordual registered (broker-dealer)17 years in industry

M••••• N• M•••••

Advisor at C•••••••

ALLENTOWN, PA

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Search this name across graphsid dfx:ria:f63d8200-37f3-d8c7-37bd-96713f6c30b4

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:01 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Jun 3, 2013 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: C•••••••
Current firm class: institutional managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jun 11, 2009earliest registration or exam on IAPD
Years in industry: 17derivedfrom the industry start date
Years at current firm: 11derivedfrom the current registration's begin date
Prior firms: 1

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
C•••••••	Institutional manager	Sep 17, 2015	n/a	yes	ALLENTOWN, PA	Current employment
M•• S•••••••••	Former SEC adviser	Jun 3, 2013	Dec 23, 2015	no	BETHLEHEM, PA

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
M•• S•••••••••	C•••••••	Dec 23, 2015	Sep 17, 2015	-97	Firm change after gap	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
109437:175112:PA:2015-12-23	Dec 23, 2015	Sep 17, 2015	BETHLEHEM, PA	Firm change after gap

Relationships

Registered with (2)

→ C•••••••Registered adviserregistration: current employment
Sep 17, 2015 to presentfactForm ADV
→ M•• S•••••••••Registered adviserregistration: previous registration
Jun 3, 2013 to Dec 23, 2015factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:f63d8200-37f3-d8c7-37bd-96713f6c30b4
First observed: Jun 3, 2013
Last observed: Sep 14, 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.