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

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RIA / WealthAdvisordual registered (broker-dealer)10 years in industry

N••••• I••••••

Advisor at D••• D••••••• • C••

PASADENA, CA

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Search this name across graphsid dfx:ria:bb285ea1-5173-14b4-3599-7771a1f9e164

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 11:08 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 1
On other graphs: 0
Observed: Jan 1, 2025 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: D••• D••••••• • C••
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: Aug 1, 2016earliest registration or exam on IAPD
Years in industry: 10derivedfrom 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
D••• D••••••• • C••	Independent wealth	Jul 7, 2026	n/a	yes	PASADENA, CA	Current employment
U•• F•••••••• S••••••• I•••	Wirehouse	Jan 1, 2025	Jul 21, 2026	no	IRVINE, CA\|SEAL BEACH, CA

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
U•• F•••••••• S••••••• I•••	D••• D••••••• • C••	Jul 21, 2026	Jul 7, 2026	-14	Firm change	Wirehouse to RIA

Relationships

Registered with (2)

→ D••• D••••••• • C••Registered adviserregistration: current employment
Jul 7, 2026 to presentfactForm ADV
→ U•• F•••••••• S••••••• I•••Registered adviserregistration: previous registration
Jan 1, 2025 to Jul 21, 2026factForm ADV

Dated events

Occurred
Jul 21, 2026
Advisor changed firm
N••••• I•••••• left U•• F•••••••• S••••••• I••• for D••• D••••••• • C•• (registered 2026-07-07)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:bb285ea1-5173-14b4-3599-7771a1f9e164
First observed: Jan 1, 2025
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.