DFX Intelligence

R••••• C••••• D•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Planner|Chartered Financial Consultantdual registered (broker-dealer)12 years in industry

R••••• C••••• D•••••

Advisor at N••••••••• M••••• I••••••••• S•••••••••

LA JOLLA, CA

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Search this name across graphsid dfx:ria:ca1abad9-a743-22d7-d9ab-81de338d0993

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 2:17 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Aug 30, 2018 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••••••••• M••••• I••••••••• S•••••••••
Current firm class: no raum reportedderived
Book size: not public••• Locked
Industry start: Aug 1, 2014earliest registration or exam on IAPD
Years in industry: 12derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
N••••••••• M••••• I••••••••• S•••••••••	No RAUM reported	May 21, 2026	n/a	yes	LA JOLLA, CA	Current employment
F••••	Independent wealth	Aug 10, 2021	Feb 5, 2026	no	San Diego, CA\|WEST PALM BEACH, FL\|Charlotte, NC\|Peachtree, GA\|San Diego, CA\|San Diego, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
F••••	N••••••••• M••••• I••••••••• S•••••••••	Feb 5, 2026	May 21, 2026	105	Firm change	Other
V••••••• A•••••••• I•••	F••••	Aug 6, 2021	Aug 10, 2021

Team moves

••• Locked

Team	Left	Joined	From	Kind
106715:285961:NC:2021-08-05	Aug 6, 2021	Aug 10, 2021	CHARLOTTE, NC	Firm change

Relationships

Registered with (3)

→ N••••••••• M••••• I••••••••• S•••••••••Registered adviserregistration: current employment
May 21, 2026 to presentfactForm ADV
→ F••••Registered adviserregistration: previous registration
Aug 10, 2021 to Feb 5, 2026factForm ADV
→ V••••••• A•••••••• I•••Registered adviserregistration: previous registration
Aug 30, 2018 to Aug 6, 2021factForm ADV

Dated events

Occurred
Feb 5, 2026
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:ca1abad9-a743-22d7-d9ab-81de338d0993
First observed: Aug 30, 2018
Last observed: Sep 14, 2026 9 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.