DFX Intelligence

A••• J••••• S••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)37 years in industry

A••• J••••• S••••••

Advisor at N•••• W••••• M••••••••• I•••

NEWPORT BEACH, 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, 6:30 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: May 23, 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•••• W••••• M••••••••• I•••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Jul 1, 1989earliest registration or exam on IAPD
Years in industry: 37derivedfrom the industry start date
Years at current firm: 12derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
N•••• W••••• M••••••••• I•••	Independent wealth	Feb 25, 2014	n/a	yes	NEWPORT BEACH, CA	Current employment
F••••••• S••••••••• I•••	Former SEC adviser	Nov 10, 2014	Nov 19, 2014	no	SANTA CLARA, CA\|Aliso Viejo, CA\|Santa Clara, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
F••••••• S••••••••• I•••	n/a	Nov 19, 2014	n/a	n/a	Departure no registered destination	Departure
F•••••••• T••••••• I•••	N•••• W••••• M••••••••• I•••	Sep 12, 2014	Feb 25, 2014	-199

Relationships

Registered with (5)

→ N•••• W••••• M••••••••• I•••Registered adviserregistration: current employment
Feb 25, 2014 to presentfactForm ADV
→ F••••••• S••••••••• I•••Registered adviserregistration: previous registration
Nov 10, 2014 to Nov 19, 2014factForm ADV
→ F•••••••• T••••••• I•••Registered adviserregistration: previous registration
Dec 2, 2013 to Sep 12, 2014factForm ADV
→ M•••• C••••••• A••••••• S••••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: May 23, 2002
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.