DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Planner22 years in industry

N••••• E• S•••••••

Advisor at L••••••• F•••••••• P•••••••

MODESTO, CA

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Search this name across graphsid dfx:ria:67d2d8c1-b5bd-889e-3bc1-53de1ad74d93

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 3:54 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Feb 5, 2007 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: L••••••• F•••••••• P•••••••
Current firm class: state registeredderived
Book size: not public••• Locked
Industry start: Jun 12, 2004earliest registration or exam on IAPD
Years in industry: 22derivedfrom the industry start date
Years at current firm: 12derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
L••••••• F•••••••• P•••••••	State registered	Jan 3, 2014	n/a	yes	MODESTO, CA	Current employment
C•••• I••••••••• S••••••• C••••	Former SEC adviser	Feb 9, 2011	Dec 7, 2011	no	MODESTO, CA\|MODESTO, CA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C•••• I••••••••• S••••••• C••••	L••••••• F•••••••• P•••••••	Dec 7, 2011	Jan 3, 2014	758	Firm change after gap	Other
E••••• J••••	C•••• I••••••••• S••••••• C••••	Jan 24, 2011	Feb 9, 2011

Relationships

Registered with (3)

→ L••••••• F•••••••• P•••••••Registered adviserregistration: current employment
Jan 3, 2014 to presentfactForm ADV
→ C•••• I••••••••• S••••••• C••••Registered adviserregistration: previous registration
Feb 9, 2011 to Dec 7, 2011factForm ADV
→ E••••• J••••Registered adviserregistration: previous registration
Feb 5, 2007 to Jan 24, 2011factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:67d2d8c1-b5bd-889e-3bc1-53de1ad74d93
First observed: Feb 5, 2007
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.