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A••••• N••••• B•••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Planner11 years in industry

A••••• N••••• B•••••••

Advisor at E•••••••

Carlsbad, CA | NEW YORK, NY

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Search this name across graphsid dfx:ria:6c240175-0d68-3b1f-4d78-7c445ba73ae4

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 6:48 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Sep 18, 2015 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: E•••••••
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Sep 1, 2015earliest registration or exam on IAPD
Years in industry: 11derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 1

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
E•••••••	Independent wealth	Apr 3, 2019	n/a	yes	NEW YORK, NY\|Carlsbad, CA	Current employment
R• C••• I•••	Independent wealth	Sep 18, 2015	Mar 29, 2019	no	NEWPORT BEACH, CA

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
R• C••• I•••	E•••••••	Mar 29, 2019	Apr 3, 2019	5	Firm change	RIA to RIA

Relationships

Registered with (2)

→ E•••••••Registered adviserregistration: current employment
Apr 3, 2019 to presentfactForm ADV
→ R• C••• I•••Registered adviserregistration: previous registration
Sep 18, 2015 to Mar 29, 2019factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:6c240175-0d68-3b1f-4d78-7c445ba73ae4
First observed: Sep 18, 2015
Last observed: Sep 15, 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.