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

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)24 years in industry

N••••• E•••••••• R••••

Advisor at S•••••• N••••••• • C••••••• I•••••••••

NEWPORT BEACH, CA

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Search this name across graphsid dfx:ria:3b763dbc-b7fe-eed3-f921-1ca5bde18652

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:18 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Mar 21, 2002 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: S•••••• N••••••• • C••••••• I•••••••••
Current firm class: national broker-dealer RIAderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jan 24, 2002earliest registration or exam on IAPD
Years in industry: 24derivedfrom the industry start date
Years at current firm: 3derivedfrom 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
S•••••• N••••••• • C••••••• I•••••••••	National bd RIA	May 5, 2023	n/a	yes	NEWPORT BEACH, CA	Current employment
M••••• S••••••	Wirehouse	Jun 1, 2009	May 23, 2023	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
M••••• S••••••	S•••••• N••••••• • C••••••• I•••••••••	May 23, 2023	May 5, 2023	-18	Firm change	Wirehouse to ibd
M••••• S•••••• • C•• L••	M••••• S••••••	Jun 1, 2009

Relationships

Registered with (4)

→ S•••••• N••••••• • C••••••• I•••••••••Registered adviserregistration: current employment
May 5, 2023 to presentfactForm ADV
→ M••••• S••••••Registered adviserregistration: previous registration
Jun 1, 2009 to May 23, 2023factForm ADV
→ M••••• S•••••• • C•• L••Registered adviserregistration: previous registration
Apr 2, 2007 to Jun 1, 2009factForm ADV
→ M••••• S•••••• D• I•••Registered adviserregistration: previous registration

Dated events

Occurred
May 23, 2023
Advisor changed firm
N••••• E•••••••• R•••• left M••••• S•••••• for S•••••• N••••••• • C••••••• I••••••••• (registered 2023-05-05)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:3b763dbc-b7fe-eed3-f921-1ca5bde18652
First observed: Mar 21, 2002
Last observed: Sep 14, 2026 8 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.