DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)33 years in industry

E••• S•••••• D••••

Advisor at N••••••••• G•••• L••

REDWOOD CITY, CA

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Search this name across graphsid dfx:ria:cd966540-b6ef-a3e0-b255-5a9680fae2c2

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:13 PM UTC and rebuilt at most every 15 minutes.

Relationships: 1
Dated events: 0
On other graphs: 0
Observed: Nov 18, 1992 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••••••••• G•••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Nov 18, 1992earliest registration or exam on IAPD
Years in industry: 33derivedfrom the industry start date
Years at current firm: 27derivedfrom the current registration's begin date
Current registrations: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
N••••••••• G•••• L••	Independent wealth	Aug 2, 1999	n/a	yes	REDWOOD CITY, CA	Current employment

Relationships

Registered with (1)

→ N••••••••• G•••• L••Registered adviserregistration: current employment
Aug 2, 1999 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:cd966540-b6ef-a3e0-b255-5a9680fae2c2
First observed: Nov 18, 1992
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.