DFX Intelligence

A••••• D•••••••••: 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 / WealthAdvisorCertified Financial Planner13 years in industry

A••••• D•••••••••

Advisor at N•••••• B•••••• F•••••••• A•••••••

SANTA CRUZ, CA

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:05fd4075-c1e7-efed-a132-b4ed39b5442b

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 6:53 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 2
On other graphs: 0
Observed: May 7, 2021 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: N•••••• B•••••• F•••••••• A•••••••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Jun 1, 2013earliest registration or exam on IAPD
Years in industry: 13derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
N•••••• B•••••• F•••••••• A•••••••	Independent wealth	Jan 9, 2026	n/a	yes	SANTA CRUZ, CA	Current employment
B••••• P••••• A•••••••• L••	Independent wealth	Jul 24, 2025	Dec 17, 2025	no	Scotts Valley, CA\|MILL VALLEY, CA\|NEWPORT BEACH, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
B••••• P••••• A•••••••• L••	N•••••• B•••••• F•••••••• A•••••••	Dec 17, 2025	Jan 9, 2026	23	Firm change	RIA to RIA
N•••••• B•••••• F•••••••• A•••••••	B••••• P••••• A•••••••• L••	Jan 16, 2023	Jul 24, 2025

Relationships

Registered with (2)

→ N•••••• B•••••• F•••••••• A•••••••Registered adviserregistration: previous registration
May 7, 2021 to Jan 16, 2023factForm ADV
→ B••••• P••••• A•••••••• L••Registered adviserregistration: previous registration
Jul 24, 2025 to Dec 17, 2025factForm ADV

Dated events

Occurred
Dec 17, 2025
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Jan 16, 2023
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:05fd4075-c1e7-efed-a132-b4ed39b5442b
First observed: May 7, 2021
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.