DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)19 years in industry

T••• C••••••• T•••••••

Advisor at N•• A••••••• S••••••• I••

••• Locked

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Search this name across graphsid dfx:ria:e639b506-4275-4543-a220-dd3443d6e379

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 3:20 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jun 4, 2007 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: N•• A••••••• S••••••• I••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: May 30, 2007earliest registration or exam on IAPD
Years in industry: 19derivedfrom the industry start date
Years at current firm: 18derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
N•• A••••••• S••••••• I••	Independent wealth	Feb 14, 2017	n/a	yes	Pacific Grove, CA\|LOS ANGELES, CA	Current employment
C• • T• F•••••••• S••••••• G••••• I•••	State registered	Sep 19, 2008	n/a	yes	PACIFIC GROVE, CA	Current employment

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
W••• A•••••••••	N•• A••••••• S••••••• I••	Apr 18, 2017	Feb 14, 2017	-63	Firm change after gap	Other
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	C• • T• F•••••••• S••••••• G••••• I•••	Aug 5, 2008	Sep 19, 2008

Team moves

••• Locked

Team	Left	Joined	From	Kind
113269:110410:CA:2017-04-18	Apr 18, 2017	Feb 14, 2017	PACIFIC GROVE, CA	Firm change after gap

Relationships

Registered with (4)

→ N•• A••••••• S••••••• I••Registered adviserregistration: current employment
Feb 14, 2017 to presentfactForm ADV
→ C• • T• F•••••••• S••••••• G••••• I•••Registered adviserregistration: current employment
Sep 19, 2008 to presentfactForm ADV
→ W••• A•••••••••Registered adviserregistration: previous registration
Oct 16, 2012 to Apr 18, 2017factForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:e639b506-4275-4543-a220-dd3443d6e379
First observed: Jun 4, 2007
Last observed: Sep 15, 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.