DFX Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Registered advisor
N••• G•••••
Feed of 09/14/2026
Also filed as N••• V• G••••••••• V••••• G••••••••• V••••• G••••••••• G•••••
At current firm
1 y
since Mar 31, 2025
In the industry
20 y
since Sep 16, 2006 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66, S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Henderson, Nv
- F••••••• P••••••• A•• W•••••••• A••••••• formerOct 21, 2022 to Mar 31, 2025 · Henderson, Nv
- W•••• F•••• A••••••• wirehouseJul 19, 2018 to Jul 12, 2022 · Las Vegas, Nv
- A••••••••• F•••••••• S•••••••• L•• national BDJan 16, 2018 to Jun 29, 2018 · Las Vegas, Nv
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseAug 7, 2015 to Jul 27, 2016 · Santa Clarita, Ca
- J••• M••••• S••••••••• L•• wirehouseMar 25, 2013 to Jul 14, 2015 · Palm Desert, Ca
Moves
a registration end followed by a registration begin elsewhere
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- W•••• F•••• A••••••• to F••••••• P••••••• A•• W•••••••• A•••••••left Jul 12, 2022, registered Oct 21, 2022 (101 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- A••••••••• F•••••••• S•••••••• L•• to W•••• F•••• A•••••••left Jun 29, 2018, registered Jul 19, 2018 (20 days) · Affiliated broker-dealer or bank to wirehouse
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to A••••••••• F•••••••• S•••••••• L••left Jul 27, 2016, registered Jan 16, 2018 (538 days) · Wirehouse to affiliated broker-dealer or bank
- J••• M••••• S••••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jul 14, 2015, registered Aug 7, 2015 (24 days) · Wirehouse to wirehouse
Signals
- ••• LockedJul 12, 2022 · Advisor changed firm · fact
Transition signals
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- National broker-dealer RIAderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address