DFX Intelligence

S•••••• R•• S• J•••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)21 years in industry

S•••••• R•• S• J•••

Advisor at N•••••• A•••••••

Greenville, SC | NEW ORLEANS, LA

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Search this name across graphsid dfx:ria:8925d1f4-ee46-fccf-3955-36ff306059ba

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 4:27 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Jun 29, 2005 to Sep 15, 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•••••••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Jun 27, 2005earliest registration or exam on IAPD
Years in industry: 21derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
N•••••• A•••••••	Bd affiliated wealth	Aug 17, 2023	n/a	yes	NEW ORLEANS, LA\|Greenville, SC	Current employment
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	Wirehouse	Oct 23, 2009	Aug 21, 2023	no	GREENVILLE, SC\|GREENVILLE, SC\|NEW YORK, NY\|ANDERSON, SC\|GREENVILLE, SC\|COLUMBIA, SC

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	N•••••• A•••••••	Aug 21, 2023	Aug 17, 2023	-4	Firm change	Wirehouse to ibd
B••• O• A•••••• I••••••••• S•••••••• I•••	M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	Oct 23, 2009

Team moves

••• Locked

Team	Left	Joined	From	Kind
7691:171351:SC:2023-08-21	Aug 21, 2023	Aug 17, 2023	COLUMBIA, SC	Firm change

Relationships

Registered with (5)

→ N•••••• A•••••••Registered adviserregistration: current employment
Aug 17, 2023 to presentfactForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Registered adviserregistration: previous registration
Oct 23, 2009 to Aug 21, 2023factForm ADV
→ B••• O• A•••••• I••••••••• S•••••••• I•••Registered adviserregistration: previous registration
Jan 8, 2009 to Oct 23, 2009factForm ADV
→ W•••• F•••• A•••••••

Dated events

Occurred
Aug 21, 2023
Advisor changed firm
S•••••• R•• S• J••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for N•••••• A••••••• (registered 2023-08-17)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:8925d1f4-ee46-fccf-3955-36ff306059ba
First observed: Jun 29, 2005
Last observed: Sep 15, 2026 7 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.