DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)27 years in industry

N••••••• C•••••• L•••••

Advisor at N••••• A•••• M••••••••• L••

CHICAGO, IL

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:33 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 1
On other graphs: 0
Observed: Dec 5, 2003 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••••• A•••• M••••••••• L••
Current firm class: mixed wealth managerderived
Book size: not public••• Locked
Industry start: Jul 8, 1999earliest registration or exam on IAPD
Years in industry: 27derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 6

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
N••••• A•••• M••••••••• L••	Mixed wealth	Aug 1, 2022	n/a	yes	CHICAGO, IL	Current employment
C•••••• C••••• G••••• I•••	No RAUM reported	Oct 14, 2014	Mar 14, 2022	no	CARMEL, IN	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C•••••• C••••• G••••• I•••	N••••• A•••• M••••••••• L••	Mar 14, 2022	Aug 1, 2022	140	Firm change	Other
E•••••• F••• M••••••••• L••	C•••••• C••••• G••••• I•••	Sep 23, 2014	Oct 14, 2014

Relationships

Registered with (7)

→ N••••• A•••• M••••••••• L••Registered adviserregistration: current employment
Aug 1, 2022 to presentfactForm ADV
→ C•••••• C••••• G••••• I•••Registered adviserregistration: previous registration
Oct 14, 2014 to Mar 14, 2022factForm ADV
→ E•••••• F••• M••••••••• L••Registered adviserregistration: previous registration
Aug 7, 2013 to Sep 23, 2014factForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••

Dated events

Occurred
Mar 14, 2022
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Dec 5, 2003
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.