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A•••••• G••••• M•••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)42 years in industry

A•••••• G••••• M•••

Advisor at N••••••• T•••• S••••••••• I••

Phoenix, AZ | Chicago, IL | PHOENIX, AZ

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Search this name across graphsid dfx:ria:6bde57a3-a81e-66ed-b1e7-51bd2c5090b0

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 11:34 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Nov 1, 2002 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: N••••••• T•••• S••••••••• I••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jun 29, 1984earliest registration or exam on IAPD
Years in industry: 42derivedfrom 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
N••••••• T•••• S••••••••• I••	Bd affiliated wealth	Apr 16, 2026	n/a	yes	Chicago, IL\|Phoenix, AZ\|PHOENIX, AZ	Current employment
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	Wirehouse	Dec 20, 2017	Apr 6, 2026	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
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	N••••••• T•••• S••••••••• I••	Apr 6, 2026	Apr 16, 2026	10	Firm change	Wirehouse to ibd
C••••••• S•••••••••	M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	Sep 12, 2017

Relationships

Registered with (4)

→ N••••••• T•••• S••••••••• I••Registered adviserregistration: current employment
Apr 16, 2026 to presentfactForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Registered adviserregistration: previous registration
Dec 20, 2017 to Apr 6, 2026factForm ADV
→ C••••••• S•••••••••Registered adviserregistration: previous registration
Feb 16, 2006 to Sep 12, 2017factForm ADV
→ B••• O•• S••••••••• C•••••••••

Dated events

Occurred
Apr 6, 2026
Advisor changed firm
A•••••• G••••• M••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for N••••••• T•••• S••••••••• I•• (registered 2026-04-16)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:6bde57a3-a81e-66ed-b1e7-51bd2c5090b0
First observed: Nov 1, 2002
Last observed: Sep 14, 2026 7 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.