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E•••••••• N•• L•••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisor20 years in industry

E•••••••• N•• L•••

Advisor at A••• W••••• M•••••••••

SARATOGA, CA

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:505221fa-8b5b-6d77-50d4-116f0d1bda42

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:50 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Nov 30, 2006 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: A••• W••••• M•••••••••
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: Jun 2, 2006earliest registration or exam on IAPD
Years in industry: 20derivedfrom the industry start date
Years at current firm: 0derivedfrom 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
A••• W••••• M•••••••••	Independent wealth	Jan 1, 2026	n/a	yes	SARATOGA, CA	Current employment
I•••••••• F•• W••••• A•••••••• I•••	Former SEC adviser	Mar 2, 2017	Mar 8, 2018	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
C•••••• W••••• M•••••••••	C•••••• C•••••• M•••••••••	Mar 29, 2018	Oct 10, 2011	-2,362	Firm change after gap	Other
I•••••••• F•• W••••• A•••••••• I•••	A••• W••••• M•••••••••	Mar 8, 2018

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
141253:158763:CA:2018-03-29	Mar 29, 2018	Oct 10, 2011	SAN JOSE, CA	Firm change after gap
127145:149347:AR:2017-01-25	Jan 25, 2017	Mar 2, 2017	NORTH LITTLE ROCK, AR	Firm change

Relationships

Registered with (6)

→ A••• W••••• M•••••••••Registered adviserregistration: current employment
Jan 1, 2026 to presentfactForm ADV
→ C•••••• W••••• M•••••••••Registered adviserregistration: previous registration
Nov 30, 2006 to Mar 29, 2018factForm ADV
→ I•••••••• F•• W••••• A•••••••• I•••Registered adviserregistration: previous registration
Mar 2, 2017 to Mar 8, 2018factForm ADV
→ S••••• M•••••••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:505221fa-8b5b-6d77-50d4-116f0d1bda42
First observed: Nov 30, 2006
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.