DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)44 years in industry

N•••• A••••• L•••••••

Advisor at U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P••••••

SCOTTSDALE, AZ | PHOENIX, AZ

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Search this name across graphsid dfx:ria:442e7614-d083-19ed-4eda-c5419548f901

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 9:12 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Mar 11, 2003 to Sep 15, 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: ••• Locked
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Dec 1, 1981earliest registration or exam on IAPD
Years in industry: 44derivedfrom the industry start date
Years at current firm: 19derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P••••••	Independent wealth	Aug 20, 2007	n/a	yes	PHOENIX, AZ\|SCOTTSDALE, AZ	Current employment
C••••• A•••••• N••••••• L••	Former SEC adviser	Mar 11, 2003	Jun 28, 2004	no	PHOENIX, AZ

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C••••• A•••••• N••••••• L••	U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P••••••	Jun 28, 2004	Aug 20, 2007	1,148	Firm change after gap	Other

Relationships

Registered with (2)

→ U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P••••••Registered adviserregistration: current employment
Aug 20, 2007 to presentfactForm ADV
→ C••••• A•••••• N••••••• L••Registered adviserregistration: previous registration
Mar 11, 2003 to Jun 28, 2004factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:442e7614-d083-19ed-4eda-c5419548f901
First observed: Mar 11, 2003
Last observed: Sep 15, 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.