DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)10 years in industry

N••••••• M••••• F•••••

Advisor at A••••••••• F•••••••• S•••••••• L••

SCOTTSDALE, AZ | Scottsdale, AZ

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Search this name across graphsid dfx:ria:9065fadd-ec28-17b9-2fdf-b9641558a39c

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:57 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 2
On other graphs: 0
Observed: Nov 28, 2017 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: A••••••••• F•••••••• S•••••••• L••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Sep 1, 2016earliest registration or exam on IAPD
Years in industry: 10derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
A••••••••• F•••••••• S•••••••• L••	National bd RIA	Nov 15, 2024	n/a	yes	SCOTTSDALE, AZ\|Scottsdale, AZ	Current employment
C••• L••	Bd affiliated wealth	May 18, 2023	Nov 18, 2024	no	OMAHA, NE\|Scottsdale, AZ

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C••• L••	A••••••••• F•••••••• S•••••••• L••	Nov 18, 2024	Nov 15, 2024	-3	Firm change	Ibd to ibd
S••••••••• A•••• M••••••••• L••	C••• L••	Mar 19, 2024	May 18, 2023

Team moves

••• Locked

Team	Left	Joined	From	Kind
167798:155344:AZ:2024-03-19	Mar 19, 2024	May 18, 2023	SCOTTSDALE, AZ	Firm change after gap

Relationships

Registered with (4)

→ A••••••••• F•••••••• S•••••••• L••Registered adviserregistration: current employment
Nov 15, 2024 to presentfactForm ADV
→ C••• L••Registered adviserregistration: previous registration
May 18, 2023 to Nov 18, 2024factForm ADV
→ S••••••••• A•••• M••••••••• L••Registered adviserregistration: previous registration
Dec 12, 2019 to Mar 19, 2024factForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••

Dated events

Occurred
Nov 18, 2024
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago
Occurred
Mar 19, 2024
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:9065fadd-ec28-17b9-2fdf-b9641558a39c
First observed: Nov 28, 2017
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.