S•••• M••••

Advisor at N•• E••• W•••••

STAMFORD, CT | New Albany, 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:68bca35c-bcc9-1424-3d43-6ff88b5a6f14

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 6:59 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: May 7, 2004 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•• E••• W•••••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Nov 8, 2001earliest registration or exam on IAPD
Years in industry: 24derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
N•• E••• W•••••	Bd affiliated wealth	Jul 2, 2026	n/a	yes	STAMFORD, CT\|New Albany, OH	Current employment
M••••• S••••••	Wirehouse	Oct 30, 2019	Jul 21, 2026	no	Dublin, OH\|New Albany, OH	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M••••• S••••••	N•• E••• W•••••	Jul 21, 2026	Jul 2, 2026	-19	Firm change	Wirehouse to ibd
U•• F•••••••• S••••••• I•••	M••••• S••••••	Oct 16, 2019	Oct 30, 2019

Team moves

••• Locked

Team	Left	Joined	From	Kind
149777:307771:OH:2026-07-21	Jul 21, 2026	Jul 2, 2026	NEW ALBANY, OH	Firm change
8174:149777:OH:2019-10-16	Oct 16, 2019	Oct 30, 2019	NEW ALBANY, OH	Firm change

Relationships

Registered with (5)

→ N•• E••• W•••••Registered adviserregistration: current employment
Jul 2, 2026 to presentfactForm ADV
→ M••••• S••••••Registered adviserregistration: previous registration
Oct 30, 2019 to Jul 21, 2026factForm ADV
→ U•• F•••••••• S••••••• I•••Registered adviserregistration: previous registration
Sep 19, 2008 to Oct 16, 2019factForm ADV
→ M••••• S•••••• • C•• L••Registered adviser

Dated events

Occurred
Jul 21, 2026
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:68bca35c-bcc9-1424-3d43-6ff88b5a6f14
First observed: May 7, 2004
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.