DFX Intelligence

W••••• A•••• M•••••••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

W••••• A•••• M•••••••

N••••• SECURITIES,INC., CRD 14377

SPOKANE, WA

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Search this name across graphsid dfx:ria:0882024e-8a03-8f55-f621-cb8c992eae57

Data as of Sep 5, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:24 PM UTC and rebuilt at most every 15 minutes.

Relationships: 19
Dated events: 0
On other graphs: 0
Observed: Jan 25, 2012 to Sep 5, 2026
21 observations

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

Firm class: independent wealth managerderivedprivate_client_share=0.99 fund_share=0.0 institutional_share=0.0 related_bd= related_bank= bd_reps=11.0
Regulatory AUM: $322M••• Locked
Discretionary RAUM: $295M
Private client RAUM: $319Mderived••• Locked
Private client share: 99%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 9
RAUM per advisor: $35.8Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
A••••••• C•••••• E•••••••	n/a	SPOKANE, WA	29	40	n/a	yes
D•••• A•••• V•••	n/a	SPOKANE, WA	29	34

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
D••••••• P•••••• K••••	TREASURER, CFO	Na	yes	06/1995	Jan 25, 2012	Aug 9, 2024
G•••••• S•••• S••••••	CHIEF COMPLIANCE OFFICER	Na	yes	05/2017	Jun 9, 2017	Aug 9, 2024

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
SAN DIEGO	CA	United States	3	yes

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2024

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	0

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2024	$322M	$213M	51.0%	$215M	14.4%	15	15	1	1

Relationships

Registered with (16)

← C••••• B••••• E•••Advisorregistration: current employment
Sep 11, 2021 to presentfactForm ADV
← R•••••• R•••••• P••••Advisorregistration: current employment
Jan 4, 2021 to presentfactForm ADV
← S••••• T••••• K•••••Advisorregistration: current employment
Jun 10, 2003 to presentfactForm ADV
← E•••••• M•••••••• G•••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:0882024e-8a03-8f55-f621-cb8c992eae57
First observed: Jan 25, 2012
Last observed: Sep 5, 2026 17 days ago
Source families: Federal regulator filings
3 registered feeds 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.