DFX Intelligence

N•••• L•••• O•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisor32 years in industry

N•••• L•••• O•••••

Advisor at A••••••• S•••••••• G••••

BAKERSFIELD, CA | PLYMOUTH, MN

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Search this name across graphsid dfx:ria:fb7bb73b-3353-1909-87e7-cec995134f15

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 9:06 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: May 25, 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: A••••••• S•••••••• G••••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Jun 24, 1994earliest registration or exam on IAPD
Years in industry: 32derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
A••••••• S•••••••• G••••	Independent wealth	May 1, 2026	n/a	yes	PLYMOUTH, MN\|BAKERSFIELD, CA	Current employment
U•••• C•••••• C••••••	Independent wealth	Dec 4, 2007	May 22, 2026	no	TUCSON, AZ\|BAKERSFIELD, CA\|TUCSON, AZ\|TUCSON, AZ\|Bakersfield, CA\|Bakersfield, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
U•••• C•••••• C••••••	A••••••• S•••••••• G••••	May 22, 2026	May 1, 2026	-21	Firm change	RIA to new firm
L•• F•••••••• L••	U•••• C•••••• C••••••	Dec 6, 2007	Dec 4, 2007

Relationships

Registered with (5)

→ A••••••• S•••••••• G••••Registered adviserregistration: current employment
May 1, 2026 to presentfactForm ADV
→ U•••• C•••••• C••••••Registered adviserregistration: previous registration
Dec 4, 2007 to May 22, 2026factForm ADV
→ L•• F•••••••• L••Registered adviserregistration: previous registration
Aug 16, 2006 to Dec 6, 2007factForm ADV
→ W••• I••••••••• I•••Registered adviser

Dated events

Occurred
May 22, 2026
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:fb7bb73b-3353-1909-87e7-cec995134f15
First observed: May 25, 2004
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.