DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)37 years in industry

T••••• M••••• G•••••••

Advisor at N•••••• F•••••••• G••••• I•••

CEDAR RAPIDS, IA | Pottstown, PA

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Search this name across graphsid dfx:ria:f621165e-d372-f415-97cc-ffa64766c6e8

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 1:05 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Jun 21, 2004 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•••••• F•••••••• G••••• I•••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Apr 6, 1989earliest registration or exam on IAPD
Years in industry: 37derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
N•••••• F•••••••• G••••• I•••	Independent wealth	Mar 22, 2021	n/a	yes	Pottstown, PA\|CEDAR RAPIDS, IA	Current employment
W•••• F•••• A•••••••	Wirehouse	Jan 14, 2011	Mar 23, 2021	no	EXTON, PA\|CHESTER SPRINGS, PA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
W•••• F•••• A•••••••	N•••••• F•••••••• G••••• I•••	Mar 23, 2021	Mar 22, 2021	-1	Firm change	Wirehouse to RIA
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	W•••• F•••• A•••••••	Jan 12, 2005	Jan 14, 2011

Relationships

Registered with (3)

→ N•••••• F•••••••• G••••• I•••Registered adviserregistration: current employment
Mar 22, 2021 to presentfactForm ADV
→ W•••• F•••• A•••••••Registered adviserregistration: previous registration
Jan 14, 2011 to Mar 23, 2021factForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Registered adviserregistration: previous registration
Jun 21, 2004 to Jan 12, 2005factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:f621165e-d372-f415-97cc-ffa64766c6e8
First observed: Jun 21, 2004
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.