C••• L••••

Advisor at N•••••• A•••••••

••• Locked

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 graphs

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 9:53 PM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 3
On other graphs: 0
Observed: Mar 16, 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: N•••••• A•••••••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Mar 15, 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: 7

Registration history

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Firm	Class	Began	Ended	Current	Branch	Basis
N•••••• A•••••••	Bd affiliated wealth	Jan 21, 2026	n/a	yes	Scottsdale, AZ\|NEW ORLEANS, LA\|Carlsbad, CA	Current employment
R•••••• I•••••••••	State registered	Jul 3, 2023	Jul 3, 2024	no	Carlsbad, CA\|SANTA MONICA, CA

Moves

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From	To	Left	Joined	Gap, days	Kind	Move type
R•••••• I•••••••••	N•••••• A•••••••	Jul 3, 2024	Jan 21, 2026	567	Firm change after gap	Other
B••••••• J•••• L••	R•••••• I•••••••••	Apr 19, 2023	Jul 3, 2023

Relationships

Registered with (8)

→ N•••••• A•••••••Registered adviserregistration: current employment
Jan 21, 2026 to presentfactForm ADV
→ R•••••• I•••••••••Registered adviserregistration: previous registration
Jul 3, 2023 to Jul 3, 2024factForm ADV
→ B••••••• J•••• L••Registered adviserregistration: previous registration
Nov 16, 2022 to Apr 19, 2023factForm ADV
→ S•••••••• L••

Dated events

Order

Occurred
3 Jul 2024
Advisor changed firm
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Form ADV
Occurred
19 Apr 2023
Advisor changed firm
••• Locked
Form ADV
Occurred
13 Apr 2022
Advisor changed firm
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Mar 16, 2005
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.