DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)17 years in industry

N••••• A• T•••••••

Advisor at P•••••••• S••••••••• I•••

Carlsbad, CA | AURORA, CO

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Search this name across graphsid dfx:ria:cd6524a1-41a4-1ae0-bb1f-6436f36138de

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 2:58 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Jul 7, 2011 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: P•••••••• S••••••••• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Feb 9, 2009earliest registration or exam on IAPD
Years in industry: 17derivedfrom 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
P•••••••• S••••••••• I•••	Bd affiliated wealth	Aug 12, 2026	n/a	yes	AURORA, CO\|Carlsbad, CA	Current employment
E••••• J••••	National bd RIA	Jan 13, 2026	Jul 9, 2026	no	ST LOUIS, MO\|Carlsbad, CA\|ST. LOUIS, MO

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
E••••• J••••	P•••••••• S••••••••• I•••	Jul 9, 2026	Aug 12, 2026	34	Firm change	Ibd to ibd
S•••••••• A••••••• L••	E••••• J••••	Mar 9, 2012	Jan 13, 2026

Team moves

••• Locked

Team	Left	Joined	From	Kind
250:1137:MO:2026-06-26	Jul 9, 2026	Aug 12, 2026	ST LOUIS, MO	Firm change

Relationships

Registered with (3)

→ P•••••••• S••••••••• I•••Registered adviserregistration: current employment
Aug 12, 2026 to presentfactForm ADV
→ E••••• J••••Registered adviserregistration: previous registration
Jan 13, 2026 to Jul 9, 2026factForm ADV
→ S•••••••• A••••••• L••Registered adviserregistration: previous registration
Jul 7, 2011 to Mar 9, 2012factForm ADV

Dated events

Occurred
Jul 9, 2026
Advisor changed firm
N••••• A• T••••••• left E••••• J•••• for P•••••••• S••••••••• I••• (registered 2026-08-12)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:cd6524a1-41a4-1ae0-bb1f-6436f36138de
First observed: Jul 7, 2011
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.