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

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RIA / WealthAdvisorCertified Financial Planner23 years in industry

L•••• S•••• J••••

Advisor at N•• W••••• M••••••••• L••

SANTA CLARA, CA

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Search this name across graphsid dfx:ria:9c9a5818-0366-5a9c-5264-7bcc2f3e8dbf

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 11:51 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Mar 30, 2009 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••••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Jun 5, 2003earliest registration or exam on IAPD
Years in industry: 23derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
N•• W••••• M••••••••• L••	Independent wealth	Aug 13, 2019	n/a	yes	SANTA CLARA, CA	Current employment
W••••••• F•••••••• S•••••••• I•••	Former SEC adviser	Aug 2, 2010	Apr 16, 2012	no	FREMONT, CA\|SAN FRANCISCO, CA\|FREMONT, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
W••••••• F•••••••• S•••••••• I•••	N•• W••••• M••••••••• L••	Apr 16, 2012	Aug 13, 2019	2,675	Firm change after gap	Other
M•• I•••••••• S•••••••• L••	W••••••• F•••••••• S•••••••• I•••	Aug 16, 2010	Aug 2, 2010

Relationships

Registered with (3)

→ N•• W••••• M••••••••• L••Registered adviserregistration: current employment
Aug 13, 2019 to presentfactForm ADV
→ W••••••• F•••••••• S•••••••• I•••Registered adviserregistration: previous registration
Aug 2, 2010 to Apr 16, 2012factForm ADV
→ M•• I•••••••• S•••••••• L••Registered adviserregistration: previous registration
Mar 30, 2009 to Aug 16, 2010factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:9c9a5818-0366-5a9c-5264-7bcc2f3e8dbf
First observed: Mar 30, 2009
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.