DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)16 years in industry

K••••••• P•••• M••••

Advisor at N•• I••••••••• G••••• L••

DALLAS, TX

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Search this name across graphsid dfx:ria:cca9b449-21a8-0589-0d47-cc0971a3541d

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 4:03 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Feb 22, 2010 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•• I••••••••• G••••• L••
Current firm class: asset managerderived
Book size: not public••• Locked
Industry start: Feb 20, 2010earliest registration or exam on IAPD
Years in industry: 16derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
N•• I••••••••• G••••• L••	Asset manager	Nov 3, 2021	n/a	yes	DALLAS, TX	Current employment
A•••••• G••••• I•••••••• U••• L••	Former SEC adviser	May 8, 2013	Feb 3, 2021	no	DALLAS, TX	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
A•••••• G••••• I•••••••• U••• L••	N•• I••••••••• G••••• L••	Feb 3, 2021	Nov 3, 2021	273	Firm change	Other
E••••••• P•••••••• L••	A•••••• G••••• I•••••••• U••• L••	Sep 22, 2011	May 8, 2013

Relationships

Registered with (3)

→ N•• I••••••••• G••••• L••Registered adviserregistration: current employment
Nov 3, 2021 to presentfactForm ADV
→ A•••••• G••••• I•••••••• U••• L••Registered adviserregistration: previous registration
May 8, 2013 to Feb 3, 2021factForm ADV
→ E••••••• P•••••••• L••Registered adviserregistration: previous registration
Feb 22, 2010 to Sep 22, 2011factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:cca9b449-21a8-0589-0d47-cc0971a3541d
First observed: Feb 22, 2010
Last observed: Sep 14, 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.