DFX Intelligence

L••• A••• 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

L••• A••• A•••••••

Advisor at N••• C•••••••••

BOCA RATON, FL | DELRAY BEACH, FL

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:0675c159-d662-3b3d-a175-27723faefbee

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 9:26 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Oct 28, 2009 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: N••• C•••••••••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Dec 1, 2008earliest registration or exam on IAPD
Years in industry: 17derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
N••• C•••••••••	Bd affiliated wealth	Jul 2, 2025	n/a	yes	DELRAY BEACH, FL\|BOCA RATON, FL	Current employment
R•••••• J•••• • A••••••••• I•••	National bd RIA	Jul 8, 2019	Apr 30, 2025	no	BOCA RATON, FL\|Delray Beach, FL

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
R•••••• J•••• • A••••••••• I•••	N••• C•••••••••	Apr 30, 2025	Jul 2, 2025	63	Firm change	Ibd to ibd
M••••• S••••••	R•••••• J•••• • A••••••••• I•••	Jul 5, 2019	Jul 8, 2019

Team moves

••• Locked

Team	Left	Joined	From	Kind
149777:705:FL:2019-07-05	Jul 5, 2019	Jul 8, 2019	BOCA RATON, FL	Firm change

Relationships

Registered with (3)

→ N••• C•••••••••Registered adviserregistration: current employment
Jul 2, 2025 to presentfactForm ADV
→ R•••••• J•••• • A••••••••• I•••Registered adviserregistration: previous registration
Jul 8, 2019 to Apr 30, 2025factForm ADV
→ M••••• S••••••Registered adviserregistration: previous registration
Oct 28, 2009 to Jul 5, 2019factForm ADV

Dated events

Occurred
Apr 30, 2025
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:0675c159-d662-3b3d-a175-27723faefbee
First observed: Oct 28, 2009
Last observed: Sep 15, 2026 7 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.