DFX Intelligence

Data Factory

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

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthAdvisorCertified Financial Planner12 years in industry

N••••• B••••• F••••

Advisor at O••••• I••••••••• A••••••• L••

ALISO VIEJO, CA | SARASOTA, FL | Aliso Viejo, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:c678336f-5a32-c5c4-c4cf-55118eda1d69

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 9:58 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Jun 3, 2014 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: O••••• I••••••••• A••••••• L••
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: Jun 2, 2014earliest registration or exam on IAPD
Years in industry: 12derivedfrom the industry start date
Years at current firm: 1derivedfrom 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
E••• F••••••••	State registered	Jan 1, 2025	n/a	yes	ALISO VIEJO, CA	Current employment
O••••• I••••••••• A••••••• L••	Independent wealth	Jan 1, 2025	n/a	yes	SARASOTA, FL\|Aliso Viejo, 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
J••• M••••• S••••••••• L••	O••••• I••••••••• A••••••• L••	Jan 17, 2023	Jan 1, 2025	715	Firm change after gap	Wirehouse to RIA
W•••••• • R•••	J••• M••••• S••••••••• L••	Feb 24, 2016

Relationships

Registered with (4)

→ O••••• I••••••••• A••••••• L••Registered adviserregistration: current employment
Jan 1, 2025 to presentfactForm ADV
→ E••• F••••••••Registered adviserregistration: current employment
Jan 1, 2025 to presentfactForm ADV
→ J••• M••••• S••••••••• L••Registered adviserregistration: previous registration
Apr 11, 2016 to Jan 17, 2023factForm ADV
→ W•••••• • R•••

Dated events

Occurred
Jan 17, 2023
Advisor changed firm
N••••• B••••• F•••• left J••• M••••• S••••••••• L•• for O••••• I••••••••• A••••••• L•• (registered 2025-01-01)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:c678336f-5a32-c5c4-c4cf-55118eda1d69
First observed: Jun 3, 2014
Last observed: Sep 15, 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.