DFX Intelligence

N••• J••••• R•••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)19 years in industry

N••• J••••• R•••

Advisor at A••••• A•• P••••••• S•••••••

BELLEVUE, WA | Kirkland, WA

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Search this name across graphsid dfx:ria:5d04f496-3952-47d5-f93a-3a47ab1da4c6

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:59 AM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 3
On other graphs: 0
Observed: Oct 23, 2006 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: A••••• A•• P••••••• S•••••••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Oct 21, 2006earliest registration or exam on IAPD
Years in industry: 19derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 7

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
A••••• A•• P••••••• S•••••••	Bd affiliated wealth	Oct 3, 2023	n/a	yes	BELLEVUE, WA\|Kirkland, WA	Current employment
T•• C•••••• G••••• L••	Former SEC adviser	May 12, 2023	Sep 7, 2023	no	SEATTLE, WA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
T•• C•••••• G••••• L••	A••••• A•• P••••••• S•••••••	Sep 7, 2023	Oct 3, 2023	26	Firm change	RIA to ibd
A••••• A•• P••••••• S•••••••	T•• C•••••• G••••• L••	Apr 20, 2023	May 12, 2023

Relationships

Registered with (7)

→ A••••• A•• P••••••• S•••••••Registered adviserregistration: previous registration
Aug 22, 2022 to Apr 20, 2023factForm ADV
→ T•• C•••••• G••••• L••Registered adviserregistration: previous registration
May 12, 2023 to Sep 7, 2023factForm ADV
→ C••••••••• W••••• M•••••••••Registered adviserregistration: previous registration
Dec 3, 2014 to May 2, 2022factForm ADV
→ C•••••• S••••• • C••• I•••

Dated events

Occurred
Sep 7, 2023
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Apr 20, 2023
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
May 2, 2022
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:5d04f496-3952-47d5-f93a-3a47ab1da4c6
First observed: Oct 23, 2006
Last observed: Sep 15, 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.