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

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RIA / WealthAdvisordual registered (broker-dealer)13 years in industry

N••••• M•••• M•••••••••

Advisor at C•••••••• I••••••••• R••••••• A•••••••• I•••

Glen Allen, VA | Albany, IL

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Search this name across graphsid dfx:ria:80738ec1-af9f-7afe-7c2a-2296756c4511

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 11:07 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 2
On other graphs: 0
Observed: Dec 17, 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: C•••••••• I••••••••• R••••••• A•••••••• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Dec 14, 2012earliest registration or exam on IAPD
Years in industry: 13derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
C•••••••• I••••••••• R••••••• A•••••••• I•••	Bd affiliated wealth	Feb 26, 2025	n/a	yes	Glen Allen, VA\|Albany, IL	Current employment
S••••••• P•••••• A•••••••• L•••	Institutional manager	Apr 22, 2024	Jan 24, 2025	no

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
S••••••• P•••••• A•••••••• L•••	C•••••••• I••••••••• R••••••• A•••••••• I•••	Jan 24, 2025	Feb 26, 2025	33	Firm change	Other
C•••••••• I••••••••• R••••••• A•••••••• I•••	S••••••• P•••••• A•••••••• L•••	Apr 8, 2024

Relationships

Registered with (5)

→ C•••••••• I••••••••• R••••••• A•••••••• I•••Registered adviserregistration: previous registration
Feb 9, 2016 to Apr 8, 2024factForm ADV
→ S••••••• P•••••• A•••••••• L•••Registered adviserregistration: previous registration
Apr 22, 2024 to Jan 24, 2025factForm ADV
→ L•• F•••••••• L••Registered adviserregistration: previous registration
Jan 16, 2015 to Feb 4, 2016factForm ADV
→ Q••• C••• I••••••••• C•••••

Dated events

Occurred
Jan 24, 2025
Advisor changed firm
N••••• M•••• M••••••••• left S••••••• P•••••• A•••••••• L••• for C•••••••• I••••••••• R••••••• A•••••••• I••• (registered 2025-02-26)
Form ADVobserved 7 days ago
Occurred
Apr 8, 2024
Advisor changed firm
N••••• M•••• M••••••••• left C•••••••• I••••••••• R••••••• A•••••••• I••• for S••••••• P•••••• A•••••••• L••• (registered 2024-04-22)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:80738ec1-af9f-7afe-7c2a-2296756c4511
First observed: Dec 17, 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.