DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)35 years in industry

M••••••• M••••••• A••••

Advisor at N•• E••• W•••••

Manhattan Beach, CA | STAMFORD, CT

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Search this name across graphsid dfx:ria:a9f7984b-4f00-1d86-f550-b92d34374879

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:39 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: May 12, 1998 to Sep 15, 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•• E••• W•••••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Jan 29, 1991earliest registration or exam on IAPD
Years in industry: 35derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
N•• E••• W•••••	Bd affiliated wealth	Sep 19, 2022	n/a	yes	Manhattan Beach, CA\|STAMFORD, CT	Current employment
U•• F•••••••• S••••••• I•••	Wirehouse	Nov 16, 2012	Sep 27, 2022	no	BEVERLY HILLS, CA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
U•• F•••••••• S••••••• I•••	N•• E••• W•••••	Sep 27, 2022	Sep 19, 2022	-8	Firm change	Wirehouse to RIA
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	U•• F•••••••• S••••••• I•••	Nov 19, 2012	Nov 16, 2012

Team moves

••• Locked

Team	Left	Joined	From	Kind
8174:307771:CA:2022-09-27	Sep 27, 2022	Sep 19, 2022	BEVERLY HILLS, CA	Firm change

Relationships

Registered with (4)

→ N•• E••• W•••••Registered adviserregistration: current employment
Sep 19, 2022 to presentfactForm ADV
→ U•• F•••••••• S••••••• I•••Registered adviserregistration: previous registration
Nov 16, 2012 to Sep 27, 2022factForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Registered adviserregistration: previous registration
Oct 23, 2009 to Nov 19, 2012factForm ADV
→ B••• O• A•••••• I••••••••• S•••••••• I•••

Dated events

Occurred
Sep 27, 2022
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:a9f7984b-4f00-1d86-f550-b92d34374879
First observed: May 12, 1998
Last observed: Sep 15, 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.