DFX Intelligence

N••••••• D••• S•••••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorChartered Financial Analyst21 years in industry

N••••••• D••• S•••••••••

Advisor at W•••••• A•••••••• L••

BIRMINGHAM, AL | Lake Oswego, OR

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Search this name across graphsid dfx:ria:4b755aa6-7c12-970c-20aa-ba2599392c1d

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 2:58 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Apr 20, 2005 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: W•••••• A•••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Mar 24, 2005earliest registration or exam on IAPD
Years in industry: 21derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
W•••••• A•••••••• L••	Independent wealth	Jan 30, 2026	n/a	yes	BIRMINGHAM, AL\|Lake Oswego, OR	Current employment
P••• P•••••••••	Former SEC adviser	Jan 2, 2021	Mar 10, 2026	no	LAKE OSWEGO, OR	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
P••• P•••••••••	W•••••• A•••••••• L••	Mar 10, 2026	Jan 30, 2026	-39	Firm change after gap	RIA to RIA
T•• I••••••••• A•••• M••••••••• L••	P••• P•••••••••	Jan 2, 2021	Jan 2, 2021

Team moves

••• Locked

Team	Left	Joined	From	Kind
311002:115332:OR:2026-03-10	Mar 10, 2026	Jan 30, 2026	LAKE OSWEGO, OR	Firm change after gap

Relationships

Registered with (5)

→ W•••••• A•••••••• L••Registered adviserregistration: current employment
Jan 30, 2026 to presentfactForm ADV
→ P••• P•••••••••Registered adviserregistration: previous registration
Jan 2, 2021 to Mar 10, 2026factForm ADV
→ T•• I••••••••• A•••• M••••••••• L••Registered adviserregistration: previous registration
Aug 5, 2016 to Jan 2, 2021factForm ADV
→ N••••••••• M••••• I••••••••• S•••••••••

Dated events

Occurred
Mar 10, 2026
Advisor changed firm
N••••••• D••• S••••••••• left P••• P••••••••• for W•••••• A•••••••• L•• (registered 2026-01-30)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:4b755aa6-7c12-970c-20aa-ba2599392c1d
First observed: Apr 20, 2005
Last observed: Sep 15, 2026 7 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.