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

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)25 years in industry

N•••••• M• L•••••••

Advisor at R••••••••• C•••••• M•••••••••

Chicago, IL | Poland, OH

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:581a9120-0a33-1139-a7ff-c79a74251afe

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:13 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 1
On other graphs: 0
Observed: Jul 8, 2002 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: R••••••••• C•••••• M•••••••••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jan 1, 2001earliest registration or exam on IAPD
Years in industry: 25derivedfrom the industry start date
Years at current firm: 0derivedfrom 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
R••••••••• C•••••• M•••••••••	Bd affiliated wealth	Aug 7, 2026	n/a	yes	Poland, OH\|Poland, OH\|Chicago, IL	Current employment
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	Wirehouse	Jul 8, 2002	Aug 10, 2026	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
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	R••••••••• C•••••• M•••••••••	Aug 10, 2026	Aug 7, 2026	-3	Firm change	Wirehouse to ibd

Team moves

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

Team	Left	Joined	From	Kind
7691:291361:OH:2026-08-10	Aug 10, 2026	Aug 7, 2026	CANTON, OH	Firm change

Relationships

Registered with (2)

→ R••••••••• C•••••• M•••••••••Registered adviserregistration: current employment
Aug 7, 2026 to presentfactForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Registered adviserregistration: previous registration
Jul 8, 2002 to Aug 10, 2026factForm ADV

Dated events

Occurred
Aug 10, 2026
Advisor changed firm
N•••••• M• L••••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for R••••••••• C•••••• M••••••••• (registered 2026-08-07)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:581a9120-0a33-1139-a7ff-c79a74251afe
First observed: Jul 8, 2002
Last observed: Sep 14, 2026 8 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.