D•••• A••• K•••

Advisor at N•••• S••••••••• W••••• A•••••••• L••

S•••••••••, AZ

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:498c4204-2781-3390-c6a8-e8560835ed82

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 6:07 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Jan 10, 1997 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•••• S••••••••• W••••• A•••••••• L••
Current firm class: former SEC adviserderived
Book size: not public••• Locked
Industry start: Sep 27, 1994earliest registration or exam on IAPD
Years in industry: 31derivedfrom the industry start date
Years at current firm: 9derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
N•••• S••••••••• W••••• A•••••••• L••	Former SEC adviser	Sep 28, 2016	n/a	yes	S•••••••••, AZ	Current employment
M••••• S••••••	Wirehouse	Jun 1, 2009	Sep 9, 2016	no	Scottsdale, AZ	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M••••• S••••••	N•••• S••••••••• W••••• A•••••••• L••	Sep 9, 2016	Sep 28, 2016	19	Firm change	Wirehouse to new firm
M••••• S•••••• • C•• L••	M••••• S••••••	Jun 1, 2009	Jun 1, 2009

Relationships

Registered with (5)

→ N•••• S••••••••• W••••• A•••••••• L••Registered adviserregistration: current employment
Sep 28, 2016 to presentfactForm ADV
→ M••••• S••••••Registered adviserregistration: previous registration
Jun 1, 2009 to Sep 9, 2016factForm ADV
→ M••••• S•••••• • C•• L••Registered adviserregistration: previous registration
Apr 2, 2007 to Jun 1, 2009factForm ADV
→ M••••• S•••••• D• I•••Registered adviserregistration: previous registration

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:498c4204-2781-3390-c6a8-e8560835ed82
First observed: Jan 10, 1997
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.