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

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RIA / WealthAdvisordual registered (broker-dealer)35 years in industry

N••••• M•••• L•••••••••

Advisor at I••••••••• A•••••• A•••••••• L••

La Quinta, CA

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Search this name across graphsid dfx:ria:2f3da6ae-c5e3-910e-452d-ddaaddedd04c

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 10:56 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Jan 13, 2000 to Sep 14, 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: I••••••••• A•••••• A•••••••• L••
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: Oct 10, 1990earliest registration or exam on IAPD
Years in industry: 35derivedfrom the industry start date
Years at current firm: 10derivedfrom 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
I••••••••• A•••••• A•••••••• L••	I•••••••••_WEALTH	Jun 30, 2016	n/a	yes	La Quinta, CA	Current employment
T•• P••••••• N••••••• I•••	Former SEC adviser	Aug 20, 2012	Jun 29, 2016	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
T•• P••••••• N••••••• I•••	I••••••••• A•••••• A•••••••• L••	Jun 29, 2016	Jun 30, 2016	1	Firm change	Other
N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••	T•• P••••••• N••••••• I•••	Jun 29, 2016

Relationships

Registered with (3)

→ I••••••••• A•••••• A•••••••• L••Registered adviserregistration: current employment
Jun 30, 2016 to presentfactForm ADV
→ T•• P••••••• N••••••• I•••Registered adviserregistration: previous registration
Aug 20, 2012 to Jun 29, 2016factForm ADV
→ N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••Registered adviserregistration: previous registration
Jan 13, 2000 to Jun 29, 2016factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:2f3da6ae-c5e3-910e-452d-ddaaddedd04c
First observed: Jan 13, 2000
Last observed: Sep 14, 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.