DFX Intelligence

N•••• • D•••• W••••• M•••••••••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserIndependent wealth managerSEC registeredRAUM 100m 1b

N•••• • D•••• W••••• M•••••••••

NDWM LLC, CRD 151284

LA JOLLA, CA

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Data as of Feb 2, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 5:57 PM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 1
On other graphs: 0
Observed: Mar 20, 2020 to Feb 2, 2026
14 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: independent wealth managerderivedprivate_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $176M••• Locked
Discretionary RAUM: $176M
Private client RAUM: $176Mderived••• Locked
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 2
RAUM per advisor: $88.1Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
S••••• J•••• D••••	n/a	LA JOLLA, CA	6	22	3	no
R•••••• E••••• N••••	n/a	LA JOLLA, CA	6	23

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
D••••• S•••••• J••••	MANAGING MEMBER	D	yes	04/2020	Mar 20, 2020	Feb 5, 2024
N••••• R••••••• E•••••	MANAGING MEMBER AND CHIEF COMPLIANCE OFFICER	D	yes	04/2020	Mar 20, 2020	Feb 5, 2024

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Feb 2, 2026

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	0

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$176M	$162M	8.5%	$118M	14.4%	2	2	0	0

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
A•••••••• C•••••• L••	2	Dec 6, 2019	Sep 30, 2019	SAN DIEGO, CA	Team lift out	Other	100.0%

Teams in

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
A•••••••• C•••••• L••	2	May 29, 2020	Apr 20, 2020	SAN DIEGO, CA	Team lift out	RIA to new firm	28.6%

Relationships

Registered with (2)

← S••••• J•••• D••••Advisorregistration: previous registration
Nov 9, 2009 to Dec 6, 2019factForm ADV
← R•••••• E••••• N••••Advisorregistration: previous registration
Nov 9, 2009 to Dec 6, 2019factForm ADV

Controls (2)

← D••••• S•••••• J••••OwnerMANAGING MEMBER, ownership code D, individual
Mar 20, 2020 to Feb 5, 2024factForm ADV
← N••••• R••••••• E•••••

Dated events

Occurred
Mar 20, 2020
First Form ADV filing
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Mar 20, 2020
Last observed: Feb 2, 2026 7 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.