DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Planner21 years in industry

C••••••••• L•••• W•••••••

Advisor at N•••••• B•••••• F•••••••• A•••••••

SANTA CRUZ, CA

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Search this name across graphsid dfx:ria:7498e0b7-112f-1592-395f-326a9c05fd11

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:33 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Apr 20, 2005 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•••••• B•••••• F•••••••• A•••••••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Mar 14, 2005earliest registration or exam on IAPD
Years in industry: 21derivedfrom the industry start date
Years at current firm: 9derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
N•••••• B•••••• F•••••••• A•••••••	Independent wealth	Feb 7, 2017	n/a	yes	SANTA CRUZ, CA	Current employment
F••••••• F•••••••• N••••••• L••	Former SEC adviser	Apr 18, 2006	Dec 5, 2008	no	CUPERTINO, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
F••••••• F•••••••• N••••••• L••	N•••••• B•••••• F•••••••• A•••••••	Dec 5, 2008	Feb 7, 2017	2,986	Firm change after gap	Other
F••••••• F•••••••• N••••••	F••••••• F•••••••• N••••••• L••	Apr 19, 2006	Apr 18, 2006

Relationships

Registered with (3)

→ N•••••• B•••••• F•••••••• A•••••••Registered adviserregistration: current employment
Feb 7, 2017 to presentfactForm ADV
→ F••••••• F•••••••• N••••••• L••Registered adviserregistration: previous registration
Apr 18, 2006 to Dec 5, 2008factForm ADV
→ F••••••• F•••••••• N••••••Registered adviserregistration: previous registration
Apr 20, 2005 to Apr 19, 2006factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:7498e0b7-112f-1592-395f-326a9c05fd11
First observed: Apr 20, 2005
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.