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N•••• W••••• C•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisor31 years in industry

N•••• W••••• C•••••

Advisor at T•••• • D•••••• W••••• M••••••••• L••

Santa Fe, NM | BERKELEY, CA

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Search this name across graphsid dfx:ria:4d9c6050-56f4-1e35-408c-4f680d257440

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 11:09 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Jan 10, 2014 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: T•••• • D•••••• W••••• M••••••••• L••
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Mar 2, 1995earliest registration or exam on IAPD
Years in industry: 31derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
T•••• • D•••••• W••••• M••••••••• L••	Independent wealth	Jan 1, 2025	n/a	yes	Santa Fe, NM\|BERKELEY, CA	Current employment
M•••••• M••••	Former SEC adviser	Jan 10, 2014	Jan 25, 2019	no

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
M•••••• M••••	T•••• • D•••••• W••••• M••••••••• L••	Jan 25, 2019	Jan 1, 2025	2,168	Firm change after gap	RIA to RIA

Relationships

Registered with (2)

→ T•••• • D•••••• W••••• M••••••••• L••Registered adviserregistration: current employment
Jan 1, 2025 to presentfactForm ADV
→ M•••••• M••••Registered adviserregistration: previous registration
Jan 10, 2014 to Jan 25, 2019factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:4d9c6050-56f4-1e35-408c-4f680d257440
First observed: Jan 10, 2014
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.