M••• B•••••

Advisor at N••• C•••••••••

BOCA RATON, FL | FRESNO, CA

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Search this name across graphsid dfx:ria:4ed1c501-0f24-5fa0-03d9-b30665d5b8c9

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 9:00 AM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 1
On other graphs: 0
Observed: Jan 31, 2001 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••• C•••••••••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Sep 26, 1997earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 8

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
N••• C•••••••••	Bd affiliated wealth	Sep 29, 2022	n/a	yes	BOCA RATON, FL\|FRESNO, CA	Current employment
L•• F•••••••• L••	Bd affiliated wealth	May 11, 2017	Sep 13, 2022	no	FRESNO, CA\|FRESNO, CA\|FRESNO, CA\|FRESNO, CA\|FRESNO, CA\|CHATHAM, MA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
L•• F•••••••• L••	N••• C•••••••••	Sep 13, 2022	Sep 29, 2022	16	Firm change	RIA to ibd
C••••• A••••••• L••	L•• F•••••••• L••	May 12, 2017	May 11, 2017

Relationships

Registered with (8)

→ N••• C•••••••••Registered adviserregistration: current employment
Sep 29, 2022 to presentfactForm ADV
→ L•• F•••••••• L••Registered adviserregistration: previous registration
May 11, 2017 to Sep 13, 2022factForm ADV
→ C••••• A••••••• L••Registered adviserregistration: previous registration
Oct 24, 2013 to May 12, 2017factForm ADV
→ I•••••••• C•••••• A•••••••

Dated events

Occurred
Sep 13, 2022
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:4ed1c501-0f24-5fa0-03d9-b30665d5b8c9
First observed: Jan 31, 2001
Last observed: Sep 14, 2026 9 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.