DFX Intelligence

N•• F•••••••• S•••••••• I•••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC adviserleft the SEC rosterRAUM 100m 1b

N•• F•••••••• S•••••••• I•••

NBS FINANCIAL & INSURANCE SERVICES INC, CRD 110600

WESTLAKE VILLAGE, CA

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Search this name across graphsid dfx:ria:42b3436a-a6c1-3b95-cf70-8758fb302d67

Data as of Mar 30, 2025 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:01 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 5
On other graphs: 0
Observed: Mar 27, 2012 to Mar 30, 2025
15 observations

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

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $273M••• Locked
Discretionary RAUM: $273M
Private client RAUM: $257Mderived••• Locked
Private client share: 94%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 5
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C••••••• J•••••• J•••	President	E	yes	01/1995	Mar 27, 2012	Mar 22, 2024
C••••••• S••••• Y•••••	CHIEF COMPLIANCE OFFICER/ VP	Na	yes	10/2004	Mar 27, 2012	Mar 22, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
K•••••• C•••••• B•••••	n/a	n/a	n/a	N	no	n/a
R••••• V••••• J•••••••	n/a	n/a	n/a	N	no	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2024	$273M	$248M	10.1%	$268M	0.6%	5	5	0	0

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
E• W••••• A•••••••	2	May 13, 2025	May 15, 2025	WESTLAKE VILLAGE, CA	Team lift out	RIA to RIA	66.7%

Relationships

Moved with (1)

→ E• W••••• A•••••••Registered adviser2 advisors, team lift out, same day
May 13, 2025 to May 15, 2025factForm ADV

Registered with (3)

← K•••••• C•••••• B•••••Advisorregistration: previous registration
Apr 23, 2004 to May 13, 2025factForm ADV
← J••••• J••• C••••••Advisorregistration: previous registration
Jul 8, 1997 to May 13, 2025factForm ADV

Dated events

Occurred
Jun 2, 2025
Left the SEC roster
N•• F•••••••• S•••••••• I••• no longer on the SEC adviser roster (last listed 2025-05-02, RAUM $273.3M)
Form ADVobserved 7 days ago
$273M
Occurred
May 13, 2025
Team lift-out
2 advisors left N•• F•••••••• S•••••••• I••• (Westlake Village, CA) for E• W••••• A••••••• on the same day
Form ADVobserved 7 days ago
2 advisors
Occurred
May 13, 2025
Advisor changed firm
Joseph Kenneth Brooks left N•• F•••••••• S•••••••• I••• for E• W••••• A••••••• (registered 2025-05-15)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:42b3436a-a6c1-3b95-cf70-8758fb302d67
First observed: Mar 27, 2012
Last observed: Mar 30, 2025 18 months ago
Source families: Federal regulator filings
3 registered feeds 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.