DFX Intelligence

N••••• D•••••••• I•• P•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Planner35 years in industry

N••••• D•••••••• I•• P•••••

Advisor at L•••••• I••••••••• M••••••••• I•••

Mobile, AL

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 9:12 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Jul 1, 1999 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: L•••••• I••••••••• M••••••••• I•••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Jul 9, 1991earliest registration or exam on IAPD
Years in industry: 35derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
L•••••• I••••••••• M••••••••• I•••	Independent wealth	Jan 5, 2026	n/a	yes	Mobile, AL	Current employment
N••• P••••• • C••••••• I•••	Former SEC adviser	Jul 1, 1999	Feb 18, 2026	no	MOBILE, AL	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
N••• P••••• • C••••••• I•••	L•••••• I••••••••• M••••••••• I•••	Feb 18, 2026	Jan 5, 2026	-44	Firm change after gap	RIA to RIA

Team moves

••• Locked

Team	Left	Joined	From	Kind
121180:107890:AL:2026-02-18	Feb 18, 2026	Jan 5, 2026	MOBILE, AL	Firm change after gap

Relationships

Registered with (2)

→ L•••••• I••••••••• M••••••••• I•••Registered adviserregistration: current employment
Jan 5, 2026 to presentfactForm ADV
→ N••• P••••• • C••••••• I•••Registered adviserregistration: previous registration
Jul 1, 1999 to Feb 18, 2026factForm ADV

Dated events

Order

Occurred
18 Feb 2026
Advisor changed firm
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Jul 1, 1999
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.