DFX Intelligence

N•••••••• W••••• M••••••••• G••••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

N•••••••• W••••• M••••••••• G••••

N•••••••• W••••• M••••••••• G••••, LLC, CRD 327001

CHARLESTON, SC

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Search this name across graphsid dfx:ria:59954b4c-f22f-035b-9612-1cb90343e228

Data as of Jun 2, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 2:18 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 5
On other graphs: 0
Observed: Jul 12, 2023 to Jun 2, 2026
10 observations

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

Firm class: independent wealth managerderivedprivate_client_share=0.92 fund_share=0.0 institutional_share=0.04 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $322M••• Locked
Discretionary RAUM: $322M
Private client RAUM: $297Mderived••• Locked
Private client share: 92%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 2
RAUM per advisor: $161Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
J••••• L•••••• N••••••••	n/a	CHARLESTON, SC	2	33	3	no
J••• D• W•••••	n/a	CHARLESTON, SC	0	14

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
N••••••••• J•••••• L••••••	PRESIDENT AND MEMBER	E	yes	08/2023	Oct 2, 2023	May 31, 2024
E••••••••• L••••• S••••	CHIEF COMPLIANCE OFFICER	Na	no	07/2023	Jul 12, 2023	May 31, 2024

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Feb 12, 2026

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
1	0	1	0.0%	0	0	0	3	1

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$322M	$291M	10.5%	n/a	n/a	4	4	0	0

Teams in

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
W•••• F•••• A•••••••	2	Oct 9, 2023	Oct 3, 2023	CHARLESTON, SC	Team lift out	Wirehouse to new firm	0.1%

Relationships

Registered with (3)

← J••• D• W•••••Advisorregistration: current employment
Jan 2, 2026 to presentfactForm ADV
← J••••• L•••••• N••••••••Advisorregistration: current employment
Oct 3, 2023 to presentfactForm ADV
← S••• T••••• O••••••Advisorregistration: previous registration
Oct 3, 2023 to Jun 18, 2024factForm ADV

Controls (1)

Dated events

Occurred
Jun 18, 2024
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Oct 9, 2023
Team lift-out
••• Locked
Form ADVobserved 8 days ago
2 advisors
Occurred
Oct 2, 2023
Control person joined
••• Locked
Form ADVobserved 8 days ago
Occurred
Oct 2, 2023
Control person left

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:59954b4c-f22f-035b-9612-1cb90343e228
First observed: Jul 12, 2023
Last observed: Jun 2, 2026 3 months ago
Source families: Federal regulator filings
3 registered feeds 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.