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

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RIA / WealthAdvisor22 years in industry

N••• E••••• M•••••

Advisor at S••••• W••• A•••••••

SANTA ROSA, CA

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Search this name across graphsid dfx:ria:9a6b0f85-6f38-077d-4a6e-a9598263b153

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 11:12 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Mar 10, 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: S••••• W••• A•••••••
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Mar 9, 2004earliest registration or exam on IAPD
Years in industry: 22derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms

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
S••••• W••• A•••••••	Independent wealth	Oct 3, 2025	n/a	yes	SANTA ROSA, CA	Current employment
P•••••• C••••••••• G••••• I•••	n/a	Mar 10, 2004	Jan 12, 2006	no

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
P•••••• C••••••••• G••••• I•••	S••••• W••• A•••••••	Jan 12, 2006	Oct 3, 2025	7,204	Firm change after gap	Other

Relationships

Registered with (2)

→ S••••• W••• A•••••••Registered adviserregistration: current employment
Oct 3, 2025 to presentfactForm ADV
→ P•••••• C••••••••• G••••• I•••Registered adviserregistration: previous registration
Mar 10, 2004 to Jan 12, 2006factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:9a6b0f85-6f38-077d-4a6e-a9598263b153
First observed: Mar 10, 2004
Last observed: Sep 14, 2026 7 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.