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

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RIA / WealthAdvisor45 years in industry

B•••• W••••• N•••••••••

Advisor at N••••••••• M••••••••• I••••••••• A••••••• L••

NEWPORT BEACH, CA

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Search this name across graphsid dfx:ria:d007e1a7-59d8-504d-a716-b637637a6344

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:46 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 0
On other graphs: 0
Observed: Mar 13, 2003 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••••••••• A••••••• L••
Current firm class: former SEC adviserderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Oct 27, 1980earliest registration or exam on IAPD
Years in industry: 45derivedfrom the industry start date
Years at current firm: 0derivedfrom 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
N••••••••• M••••••••• I••••••••• A••••••• L••	Former SEC adviser	Apr 27, 2026	n/a	yes	NEWPORT BEACH, CA	Current employment
N••••••••• M••••••••• I••••••••• A••••••• L••	Former SEC adviser	Nov 30, 2012	Mar 26, 2026	no

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
T••••••••• L••	N••••••••• M••••••••• I••••••••• A••••••• L••	Oct 16, 2012	Nov 30, 2012	45	Firm change	Other
G•• A•••••••	T••••••••• L••	Aug 15, 2011

Relationships

Registered with (5)

→ N••••••••• M••••••••• I••••••••• A••••••• L••Registered adviserregistration: previous registration
Nov 30, 2012 to Mar 26, 2026factForm ADV
→ T••••••••• L••Registered adviserregistration: previous registration
Aug 15, 2011 to Oct 16, 2012factForm ADV
→ G•• A•••••••Registered adviserregistration: previous registration
Jul 15, 2010 to Aug 15, 2011factForm ADV
→ N••••••••• C•••••• P••••••• I•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:d007e1a7-59d8-504d-a716-b637637a6344
First observed: Mar 13, 2003
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.