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

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RIA / WealthAdvisordual registered (broker-dealer)23 years in industry

S•••• M•••••• T•••••••••

Advisor at N•• A••••••• S••••••• I••

LOS ANGELES, CA | Danville, 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:0b570183-f400-435d-9cce-7bef1ffeca8d

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:40 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Dec 10, 2002 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•• A••••••• S••••••• I••
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Dec 5, 2002earliest registration or exam on IAPD
Years in industry: 23derivedfrom the industry start date
Years at current firm: 9derivedfrom the current registration's begin date
Prior firms

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
N•• A••••••• S••••••• I••	Independent wealth	Feb 14, 2017	n/a	yes	Danville, CA\|LOS ANGELES, CA	Current employment
W••• A•••••••••	Former SEC adviser	Jan 19, 2011	Apr 18, 2017	no

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
W••• A•••••••••	N•• A••••••• S••••••• I••	Apr 18, 2017	Feb 14, 2017	-63	Firm change after gap	Other
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	W••• A•••••••••	Jan 18, 2011

Team moves

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

Team	Left	Joined	From	Kind
113269:110410:CA:2017-04-18	Apr 18, 2017	Feb 14, 2017	CAMPBELL, CA	Firm change after gap

Relationships

Registered with (3)

→ N•• A••••••• S••••••• I••Registered adviserregistration: current employment
Feb 14, 2017 to presentfactForm ADV
→ W••• A•••••••••Registered adviserregistration: previous registration
Jan 19, 2011 to Apr 18, 2017factForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Registered adviserregistration: previous registration
Dec 10, 2002 to Jan 18, 2011factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:0b570183-f400-435d-9cce-7bef1ffeca8d
First observed: Dec 10, 2002
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.