DFX Intelligence

S••••• H••••• L•••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Planner31 years in industry

S••••• H••••• L•••

Advisor at N••••••• W••••• M••••••••• L••

BIRMINGHAM, AL

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Search this name across graphsid dfx:ria:64196e62-4691-1fde-11a2-11398d417c01

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:22 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Feb 13, 2012 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••••• M••••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Jan 1, 1995earliest registration or exam on IAPD
Years in industry: 31derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
N••••••• W••••• M••••••••• L••	Independent wealth	Dec 17, 2021	n/a	yes	BIRMINGHAM, AL\|BIRMINGHAM, AL	Current employment
S••••••••• A•••••••• L••	n/a	Dec 11, 2017	Jan 31, 2022	no	BIRMINGHAM, AL

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
S••••••••• A•••••••• L••	N••••••• W••••• M••••••••• L••	Jan 31, 2022	Dec 17, 2021	-45	Firm change after gap	Other
C•••• F•••••••• A•••••••	S••••••••• A•••••••• L••	Jan 23, 2018	Dec 11, 2017

Team moves

••• Locked

Team	Left	Joined	From	Kind
128217:173770:AL:2022-01-31	Jan 31, 2022	Dec 17, 2021	BIRMINGHAM, AL	Firm change after gap

Relationships

Registered with (3)

→ N••••••• W••••• M••••••••• L••Registered adviserregistration: current employment
Dec 17, 2021 to presentfactForm ADV
→ S••••••••• A•••••••• L••Registered adviserregistration: previous registration
Dec 11, 2017 to Jan 31, 2022factForm ADV
→ C•••• F•••••••• A•••••••Registered adviserregistration: previous registration
Feb 13, 2012 to Jan 23, 2018factForm ADV

Dated events

Occurred
Jan 31, 2022
Advisor changed firm
S••••• H••••• L••• left S••••••••• A•••••••• L•• for N••••••• W••••• M••••••••• L•• (registered 2021-12-17)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:64196e62-4691-1fde-11a2-11398d417c01
First observed: Feb 13, 2012
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.