DFX Intelligence
Reading the graph
Reading the graph
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.
N•••••••• FINANCIAL, INC., CRD 327155
SAN DIEGO, CA
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
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.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| C•••• T••••• A•••• | Certified Financial Planner | Lake Orion, MI | LAKE ORION, MI | SAN DIEGO, CA | 3 | 18 | 3 | no |
| M•••••• N••••• S•••••• | Certified Financial Planner|Chartered Financial Analyst | Murrysville, PA | SAN DIEGO, CA | 3 | 10 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| S••••••••• J•••••• B•••• | Member | D | yes | 06/2023 | Jul 21, 2023 | Dec 2, 2024 |
| S••••••• S••••• M•••••• | CO-FOUNDER, CCO, MEMBER | C | yes | 06/2023 | Jul 21, 2023 | Dec 2, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| S••••••••• W••••• A••••••• L•• | n/a | Independent wealth | $286M | N | yes | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Rockville | Md | United States | 1 | no |
| n/a | n/a | n/a | 1 | no |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Apr 10, 2026 |
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 5 | 2 | 3 | 6.9% | 0 | 1 | 0 | 18 | 5 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $0 | $0 | n/a | n/a | n/a | 29 | 25 | 28 | 24 |
| no |
| S••• M••••••• R•••••• Y•••• | Certified Financial Planner | CINCINNATI, OH | SAN DIEGO, CA | Cincinnati, OH | 2 | 13 | 1 | no |
| H•••••• N••••• C•••••• | Certified Financial Planner | Folsom, CA | CAMERON PARK, CA | SAN DIEGO, CA | 2 | 12 | 3 | no |
| A••• N••••••• C•••••• | n/a | SAN DIEGO, CA | Waxhaw, NC | 2 | 17 | 1 | no |
| M••• C••••••••• T••••• R•••• | Certified Financial Planner | EL SEGUNDO, CA | Hawthorne, CA | El Segundo, CA | 1 | 13 | 2 | no |
| L•••••• H••• I•••• | Certified Financial Planner | SAN DIEGO, CA | S••••SDALE, AZ | Scottsdale, AZ | 1 | 19 | 3 | no |
| D•••• P•••••• W•••• | Certified Financial Planner | SAN DIEGO, CA | CLOVIS, CA | Clovis, CA | 1 | 12 | 2 | no |
| A••• K••••• P••••••• | Certified Financial Planner | Fort Collins, CO | SAN DIEGO, CA | 1 | 24 | 2 | no |
| J•••• C••••••• M••••••• | Certified Financial Planner | Durham, NC | SAN DIEGO, CA | 1 | 11 | 7 | no |
| D•••• C•••••• Z••••••••• | Certified Financial Planner | SAN DIEGO, CA | Queen Creek, AZ | 0 | 20 | 3 | no |
| L•••• N•• G•••••• | Certified Financial Planner | SAN DIEGO, CA | Cary, IL | 0 | 11 | 4 | no |
| K••••••• B••••••• B••• | Certified Financial Planner | San Diego, CA | SAN DIEGO, CA | 0 | 10 | 4 | no |
| D•••• W••• L•••• | n/a | SAN DIEGO, CA | Santa Clara, CA | 0 | 20 | n/a | no |
| D•••• S•••• B•••• | Certified Financial Planner|Chartered Financial Analyst | SAN DIEGO, CA | Ljubljana | 0 | 13 | 1 | no |
| N••••••• G•••••• K••••• | n/a | Thompsons Station, TN | SAN DIEGO, CA | 0 | 11 | n/a | no |
| Member |
| B |
| no |
| 06/2023 |
| Jul 21, 2023 |
| Dec 2, 2024 |
| $0 |
| 31 |
| 30 |
| 30 |
| n/a |
| n/a |
| 2024 | Apr 14, 2025 | $0 | $0 | 25 | 23 | 24 | n/a | n/a |
| 2023 | Mar 26, 2024 | n/a | n/a | 3 | 1 | 1 | n/a | n/a |