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

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RIA / WealthAdvisordual registered (broker-dealer)10 years in industry

N•••••• A•••••

Advisor at C•••••••• G••••• M•••••• I•••

SAN FRANCISCO, CA | Burlingame, 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:20176f2b-545c-84dd-a311-5292d0299466

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:46 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 2
On other graphs: 0
Observed: Oct 5, 2021 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: C•••••••• G••••• M•••••• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jan 1, 2016earliest registration or exam on IAPD
Years in industry: 10derivedfrom the industry start date
Years at current firm: 0derivedfrom 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
C•••••••• G••••• M•••••• I•••	Bd affiliated wealth	Oct 31, 2025	n/a	yes	Burlingame, CA\|SAN FRANCISCO, CA	Current employment
F•••• C••••••• I••••••• S•••••••• I•••	Bd affiliated wealth	May 29, 2025	Oct 30, 2025	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
S•• W•••••	F•••• C••••••• I••••••• S•••••••• I•••	Oct 30, 2025	May 29, 2025	-154	Firm change after gap	RIA to ibd
F•••• C••••••• I••••••• S•••••••• I•••	C•••••••• G••••• M•••••• I•••	Oct 30, 2025

Team moves

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

Team	Left	Joined	From	Kind
172832:44430:CA:2025-10-21	Oct 30, 2025	May 29, 2025	SAN FRANCISCO, CA	Firm change after gap
44430:7059:CA:2025-10-21	Oct 30, 2025	Oct 31, 2025	PASADENA, CA	Firm change

Relationships

Registered with (4)

→ C•••••••• G••••• M•••••• I•••Registered adviserregistration: current employment
Oct 31, 2025 to presentfactForm ADV
→ S•• W•••••Registered adviserregistration: previous registration
Nov 12, 2021 to Oct 30, 2025factForm ADV
→ F•••• C••••••• I••••••• S•••••••• I•••Registered adviserregistration: previous registration
May 29, 2025 to Oct 30, 2025factForm ADV
→ W•••• F•••• A•••••••

Dated events

Occurred
Oct 30, 2025
Advisor changed firm
N•••••• A••••• left F•••• C••••••• I••••••• S•••••••• I••• for C•••••••• G••••• M•••••• I••• (registered 2025-10-31)
Form ADVobserved 7 days ago
Occurred
Oct 30, 2025
Advisor changed firm
N•••••• A••••• left S•• W••••• for F•••• C••••••• I••••••• S•••••••• I••• (registered 2025-05-29)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:20176f2b-545c-84dd-a311-5292d0299466
First observed: Oct 5, 2021
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.