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

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RIA / WealthAdvisordual registered (broker-dealer)15 years in industry

N•••• M•••

Advisor at S•••••••• A••••••• L••

ATLANTA, GA | DULUTH, GA

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:56b590c9-2346-8dcb-1fc8-3ed27abb7ab3

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 11:03 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Nov 1, 2013 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: S•••••••• A••••••• L••
Current firm class: national broker-dealer RIAderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Apr 8, 2011earliest registration or exam on IAPD
Years in industry: 15derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
S•••••••• A••••••• L••	National bd RIA	Mar 31, 2025	n/a	yes	ATLANTA, GA\|DULUTH, GA	Current employment
F••••••• P••••••• A•• W•••••••• A•••••••	Former SEC adviser	Aug 9, 2023	Mar 31, 2025	no

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
F••••••• P••••••• A•• W•••••••• A•••••••	S•••••••• A••••••• L••	Mar 31, 2025	Mar 31, 2025	0	Bulk transfer	Ibd to ibd
E•••••• C•••••• M••••••••• L••	F••••••• P••••••• A•• W•••••••• A•••••••	Jun 28, 2022

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
42159:288590:GA:2022-06-28	Jun 28, 2022	Aug 9, 2023	ALPHARETTA, GA	Firm change after gap

Relationships

Registered with (5)

→ S•••••••• A••••••• L••Registered adviserregistration: current employment
Mar 31, 2025 to presentfactForm ADV
→ F••••••• P••••••• A•• W•••••••• A•••••••Registered adviserregistration: previous registration
Aug 9, 2023 to Mar 31, 2025factForm ADV
→ E•••••• C•••••• M••••••••• L••Registered adviserregistration: previous registration
Jul 12, 2019 to Jun 28, 2022factForm ADV
→ J••• M••••• S••••••••• L••

Dated events

Occurred
Jun 28, 2022
Advisor changed firm
N•••• M••• left E•••••• C•••••• M••••••••• L•• for F••••••• P••••••• A•• W•••••••• A••••••• (registered 2023-08-09)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:56b590c9-2346-8dcb-1fc8-3ed27abb7ab3
First observed: Nov 1, 2013
Last observed: Sep 15, 2026 7 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.