DFX Intelligence

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

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RIA / WealthAdvisor23 years in industry

R•••••• E••••• N••••

Advisor at N•••• • D•••• W••••• M•••••••••

LA JOLLA, CA

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 6:10 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: May 13, 2004 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•••• • D•••• W••••• M•••••••••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Jul 24, 2003earliest registration or exam on IAPD
Years in industry: 23derivedfrom the industry start date
Years at current firm: 6derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
N•••• • D•••• W••••• M•••••••••	Independent wealth	Apr 20, 2020	n/a	yes	LA JOLLA, CA	Current employment
A•••••••• C•••••• L••	Independent wealth	Sep 30, 2019	May 29, 2020	no	San Diego, CA\|LA JOLLA, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
A•••••••• C•••••• L••	N•••• • D•••• W••••• M•••••••••	May 29, 2020	Apr 20, 2020	-39	Firm change after gap	RIA to new firm
N•••• • D•••• W••••• M•••••••••	A•••••••• C•••••• L••	Dec 6, 2019	Sep 30, 2019

Team moves

••• Locked

Team	Left	Joined	From	Kind
174346:151284:CA:2020-05-29	May 29, 2020	Apr 20, 2020	LA JOLLA, CA	Firm change after gap
151284:174346:CA:2019-12-06	Dec 6, 2019	Sep 30, 2019	SAN DIEGO, CA	Firm change after gap

Relationships

Registered with (3)

→ N•••• • D•••• W••••• M•••••••••Registered adviserregistration: previous registration
Nov 9, 2009 to Dec 6, 2019factForm ADV
→ A•••••••• C•••••• L••Registered adviserregistration: previous registration
Sep 30, 2019 to May 29, 2020factForm ADV
→ A••••••••• F•••••••• S•••••••• L••Registered adviserregistration: previous registration
May 13, 2004 to Oct 28, 2009factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: May 13, 2004
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.