N••••• D• C•••

Advisor at C••••••• F•••••••• D••••••• I•••

Tacoma, WA | KOKOMO, IN

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Search this name across graphsid dfx:ria:49187ef8-1f22-f90c-ff5e-02f3b402295d

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:36 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Dec 4, 2014 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: C••••••• F•••••••• D••••••• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Dec 4, 2014earliest registration or exam on IAPD
Years in industry: 11derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••••••• F•••••••• D••••••• I•••	Bd affiliated wealth	Nov 19, 2024	n/a	yes	KOKOMO, IN\|Tacoma, WA	Current employment
N••• F•••••••• G••••• I•••	Former SEC adviser	Dec 4, 2014	Jul 24, 2015	no	HOLLISTER, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
N••• F•••••••• G••••• I•••	C••••••• F•••••••• D••••••• I•••	Jul 24, 2015	Nov 19, 2024	3,406	Firm change after gap	Other

Team moves

••• Locked

Team	Left	Joined	From	Kind
46214:109032:CA:2015-07-24	Jul 24, 2015	Nov 19, 2024	HOLLISTER, CA	Firm change after gap

Relationships

Registered with (2)

→ C••••••• F•••••••• D••••••• I•••Registered adviserregistration: current employment
Nov 19, 2024 to presentfactForm ADV
→ N••• F•••••••• G••••• I•••Registered adviserregistration: previous registration
Dec 4, 2014 to Jul 24, 2015factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:49187ef8-1f22-f90c-ff5e-02f3b402295d
First observed: Dec 4, 2014
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.