DFX Intelligence

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

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RIA / WealthAdvisor25 years in industry

D••••• A••• E••••

Advisor at N•••••• A•••••••

NEW ORLEANS, LA | Scottsdale, AZ

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Search this name across graphsid dfx:ria:bb3a99e0-5594-7dd1-f814-3489b4ecbb59

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 2:14 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 1
On other graphs: 0
Observed: Dec 18, 2008 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•••••• A•••••••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Dec 4, 2000earliest registration or exam on IAPD
Years in industry: 25derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 6

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
N•••••• A•••••••	Bd affiliated wealth	Sep 18, 2024	n/a	yes	Scottsdale, AZ\|NEW ORLEANS, LA	Current employment
L••••••••• L••	Former SEC adviser	May 29, 2019	Jan 16, 2020	no	SCOTTSDALE, AZ	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
I••••••••• D••••• A•••••••• L••	L••••••••• L••	Sep 18, 2024	May 29, 2019	-1,939	Firm change after gap	Other
L••••••••• L••	N•••••• A•••••••	Jan 16, 2020	Sep 18, 2024

Team moves

••• Locked

Team	Left	Joined	From	Kind
299589:288253:CA:2024-09-18	Sep 18, 2024	May 29, 2019	CARLSBAD, CA	Firm change after gap
288253:171351:AZ:2020-01-16	Jan 16, 2020	Sep 18, 2024	SCOTTSDALE, AZ	Firm change after gap
288253:299589:AZ:2019-02-14	Feb 14, 2019	Feb 8, 2019	SCOTTSDALE, AZ	Firm change
145323:288253:CA:2018-01-25	Jan 25, 2018	Sep 28, 2017

Relationships

Registered with (6)

→ N•••••• A•••••••Registered adviserregistration: current employment
Sep 18, 2024 to presentfactForm ADV
→ I••••••••• D••••• A•••••••• L••Registered adviserregistration: previous registration
Feb 8, 2019 to Sep 18, 2024factForm ADV
→ L••••••••• L••Registered adviserregistration: previous registration
May 29, 2019 to Jan 16, 2020factForm ADV
→ H•••••••• A•••••••• L••

Dated events

Occurred
Sep 18, 2024
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:bb3a99e0-5594-7dd1-f814-3489b4ecbb59
First observed: Dec 18, 2008
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.