C•••• F•••••

Advisor at N••••••••• W•••••

NORTH CALDWELL, NJ

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:012ed303-b25f-4f4b-1c37-d4441089521c

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 1:50 PM UTC and rebuilt at most every 15 minutes.

Relationships: 11
Dated events: 0
On other graphs: 0
Observed: Oct 23, 2003 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••••••••• W•••••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Oct 23, 2003earliest registration or exam on IAPD
Years in industry: 22derivedfrom the industry start date
Years at current firm: 18derivedfrom the current registration's begin date
Prior firms: 10

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
N••••••••• W•••••	Independent wealth	Apr 16, 2008	n/a	yes	NORTH CALDWELL, NJ	Current employment
H••••• R••••	Former SEC adviser	Apr 5, 2017	Jul 10, 2018	no	Montclair, NJ\|CHARLOTTE, NC	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
H••••• R••••	n/a	Jul 10, 2018	n/a	n/a	Departure no registered destination	Departure
H•••••• J• S••• C•••••• M••••••••• I•••	H••••• R••••	Dec 19, 2016	Apr 5, 2017	107

Relationships

Registered with (11)

→ N••••••••• W•••••Registered adviserregistration: current employment
Apr 16, 2008 to presentfactForm ADV
→ H••••• R••••Registered adviserregistration: previous registration
Apr 5, 2017 to Jul 10, 2018factForm ADV
→ H•••••• J• S••• C•••••• M••••••••• I•••Registered adviserregistration: previous registration
Feb 6, 2015 to Dec 19, 2016factForm ADV
→ L•••••••• T••••••• A•••• M••••••••• I••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:012ed303-b25f-4f4b-1c37-d4441089521c
First observed: Oct 23, 2003
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.