DFX Intelligence

B•••••• C••• P•••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)28 years in industry

B•••••• C••• P•••

Advisor at N•••••• A•••••••

Shreveport, LA | NEW ORLEANS, LA

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Search this name across graphsid dfx:ria:667c4169-5300-38f8-96f2-93f354914b82

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 11:33 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Jul 31, 2002 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: Sep 30, 1997earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 10derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
N•••••• A•••••••	Bd affiliated wealth	Aug 15, 2016	n/a	yes	NEW ORLEANS, LA\|Shreveport, LA	Current employment
S••••• F•••••••• S•••••••• I•••	Former SEC adviser	Feb 29, 2008	Jun 1, 2009	no	SHREVEPORT, LA\|SHREVEPORT, LA\|SHREVEPORT, LA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
S••••• F•••••••• S•••••••• I•••	N•••••• A•••••••	Jun 1, 2009	Aug 15, 2016	2,632	Firm change after gap	Other
C•••••••• I••••••••• R•••••••• I•••	S••••• F•••••••• S•••••••• I•••	Oct 21, 2002	Feb 29, 2008

Relationships

Registered with (3)

→ N•••••• A•••••••Registered adviserregistration: current employment
Aug 15, 2016 to presentfactForm ADV
→ S••••• F•••••••• S•••••••• I•••Registered adviserregistration: previous registration
Feb 29, 2008 to Jun 1, 2009factForm ADV
→ C•••••••• I••••••••• R•••••••• I•••Registered adviserregistration: previous registration
Jul 31, 2002 to Oct 21, 2002factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:667c4169-5300-38f8-96f2-93f354914b82
First observed: Jul 31, 2002
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.