DFX Intelligence

B•••• E••••• P•••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Planner18 years in industry

B•••• E••••• P•••••••

Advisor at N•••••• A•••••••

San Diego, CA | NEW ORLEANS, LA

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Search this name across graphs

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:26 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Jan 29, 2018 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•••••• A•••••••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Jan 1, 2008earliest registration or exam on IAPD
Years in industry: 18derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
N•••••• A•••••••	Bd affiliated wealth	Jan 31, 2025	n/a	yes	San Diego, CA\|NEW ORLEANS, LA	Current employment
M•••••• T••••• F••••••••	Former SEC adviser	Dec 10, 2019	Jan 31, 2025	no	SAN DIEGO, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M•••••• T••••• F••••••••	N•••••• A•••••••	Jan 31, 2025	Jan 31, 2025	0	Firm change	RIA to ibd
K••••• W••••• M••••••••• L••	M•••••• T••••• F••••••••	Oct 18, 2019	Dec 10, 2019

Team moves

••• Locked

Team	Left	Joined	From	Kind
173836:171351:CA:2025-01-31	Jan 31, 2025	Jan 31, 2025	SAN DIEGO, CA	Firm change

Relationships

Registered with (3)

→ N•••••• A•••••••Registered adviserregistration: current employment
Jan 31, 2025 to presentfactForm ADV
→ M•••••• T••••• F••••••••Registered adviserregistration: previous registration
Dec 10, 2019 to Jan 31, 2025factForm ADV
→ K••••• W••••• M••••••••• L••Registered adviserregistration: previous registration
Jan 29, 2018 to Oct 18, 2019factForm ADV

Dated events

Order

Occurred
31 Jan 2025
Advisor changed firm
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Jan 29, 2018
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.