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

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RIA / WealthAdvisordual registered (broker-dealer)39 years in industry

N•••• L•• F••••••••

Advisor at W•••• F•••• A•••••••

SANTA FE, NM | RENO, NV | SAN LUIS OBISPO, CA

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Search this name across graphsid dfx:ria:10acb7b2-8630-43d7-b918-8dfaca26a81a

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 2:41 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Jul 8, 1997 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: W•••• F•••• A•••••••
Current firm class: wirehousederived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: May 27, 1987earliest registration or exam on IAPD
Years in industry: 39derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 2

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
W•••• F•••• A•••••••	Wirehouse	Nov 7, 2022	n/a	yes	SANTA FE, NM\|RENO, NV\|SAN LUIS OBISPO, CA	Current employment
W•••• F•••• A•••••••	Wirehouse	Jan 1, 2008	Nov 7, 2022	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•••• F•••• A•••••••	W•••• F•••• A•••••••	Nov 7, 2022	Nov 7, 2022	0	Channel change	Wirehouse to wirehouse
A• G• E•••••• • S•••• I•••	W•••• F•••• A•••••••	Jan 1, 2008

Team moves

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

Team	Left	Joined	From	Kind
19616:11025:CA:2022-10-14	Nov 7, 2022	Nov 7, 2022	SAN LUIS OBISPO, CA	Firm change

Relationships

Registered with (3)

→ W•••• F•••• A•••••••Registered adviserregistration: current employment
Nov 7, 2022 to presentfactForm ADV
→ W•••• F•••• A•••••••Registered adviserregistration: previous registration
Jan 1, 2008 to Nov 7, 2022factForm ADV
→ A• G• E•••••• • S•••• I•••Registered adviserregistration: previous registration
Jul 8, 1997 to Jan 1, 2008factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:10acb7b2-8630-43d7-b918-8dfaca26a81a
First observed: Jul 8, 1997
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.