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

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RIA / WealthAdvisor28 years in industry

N••••• W••••

Advisor at Q••• C•••••• L••

Los Angeles, CA

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Search this name across graphsid dfx:ria:7122e12f-a2cd-94c0-7602-747ddbb84f1a

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:18 AM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 0
On other graphs: 0
Observed: Jul 15, 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: Q••• C•••••• L••
Current firm class: former SEC adviserderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Nov 12, 1997earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 7

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
Q••• C•••••• L••	Former SEC adviser	Feb 3, 2023	n/a	yes	Los Angeles, CA	Current employment
Q••• C•••••• L••	Former SEC adviser	Feb 16, 2021	May 20, 2021	no	LOS ANGELES, CA\|Los Angeles, 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
T••••• C•••••• L••	Q••• C•••••• L••	May 14, 2019	Feb 16, 2021	644	Firm change after gap	Other
F••••• I•••••••••	T••••• C•••••• L••	Oct 6, 2014

Relationships

Registered with (6)

→ Q••• C•••••• L••Registered adviserregistration: previous registration
Feb 16, 2021 to May 20, 2021factForm ADV
→ T••••• C•••••• L••Registered adviserregistration: previous registration
Jan 1, 2015 to May 14, 2019factForm ADV
→ F••••• I•••••••••Registered adviserregistration: previous registration
Jun 19, 2013 to Oct 6, 2014factForm ADV
→ T••••• C•••••• L••Registered adviser

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:7122e12f-a2cd-94c0-7602-747ddbb84f1a
First observed: Jul 15, 2002
Last observed: Sep 14, 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.