DFX Intelligence

I••• R•••••• G••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)42 years in industry

I••• R•••••• G••••

Advisor at N••• C•••••••••

BOCA RATON, FL

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Search this name across graphsid dfx:ria:40fd5a77-e968-1ff6-d357-c85e5dace992

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:17 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Mar 26, 2010 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: N••• C•••••••••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Sep 21, 1984earliest registration or exam on IAPD
Years in industry: 42derivedfrom the industry start date
Years at current firm: 10derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
N••• C•••••••••	Bd affiliated wealth	Apr 22, 2016	n/a	yes	BOCA RATON, FL\|BOCA RATON, FL	Current employment
M••••• S••••••	Wirehouse	Feb 19, 2013	Mar 23, 2016	no	Boca Raton, FL	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M••••• S••••••	N••• C•••••••••	Mar 23, 2016	Apr 22, 2016	30	Firm change	Other
B• R•••• W••••• A•••••••• I•••	M••••• S••••••	Jan 28, 2013	Feb 19, 2013

Relationships

Registered with (3)

→ N••• C•••••••••Registered adviserregistration: current employment
Apr 22, 2016 to presentfactForm ADV
→ M••••• S••••••Registered adviserregistration: previous registration
Feb 19, 2013 to Mar 23, 2016factForm ADV
→ B• R•••• W••••• A•••••••• I•••Registered adviserregistration: previous registration
Mar 26, 2010 to Jan 28, 2013factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:40fd5a77-e968-1ff6-d357-c85e5dace992
First observed: Mar 26, 2010
Last observed: Sep 14, 2026 9 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.