P•••• O•••• C••

Advisor at N••••••••• M••••• I••••••••• S•••••••••

WILMINGTON, NC

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:35b4c521-a6de-95e4-f774-a003b9065dd5

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:37 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: May 12, 2005 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••••••••• M••••• I••••••••• S•••••••••
Current firm class: no raum reportedderived
Book size: not public••• Locked
Industry start: Oct 22, 1993earliest registration or exam on IAPD
Years in industry: 32derivedfrom the industry start date
Years at current firm: 17derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
N••••••••• M••••• I••••••••• S•••••••••	No RAUM reported	Oct 24, 2008	n/a	yes	WILMINGTON, NC	Current employment
C••••••••• F•••••••• N••••••	National bd RIA	Jul 28, 2006	Oct 7, 2008	no	WALTHAM, MA\|SOUTHERN PINES, NC

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C••••••••• F•••••••• N••••••	N••••••••• M••••• I••••••••• S•••••••••	Oct 7, 2008	Oct 24, 2008	17	Firm change	Other
W•••• F•••• A•••••••	C••••••••• F•••••••• N••••••	Aug 4, 2006	Jul 28, 2006

Relationships

Registered with (3)

→ N••••••••• M••••• I••••••••• S•••••••••Registered adviserregistration: current employment
Oct 24, 2008 to presentfactForm ADV
→ C••••••••• F•••••••• N••••••Registered adviserregistration: previous registration
Jul 28, 2006 to Oct 7, 2008factForm ADV
→ W•••• F•••• A•••••••Registered adviserregistration: previous registration
May 12, 2005 to Aug 4, 2006factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:35b4c521-a6de-95e4-f774-a003b9065dd5
First observed: May 12, 2005
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.