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N•••••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered advisermixed wealth managerSEC registeredRAUM 100m 1b

N•••••

NAPLES ASSET MANAGEMENT CO., LLC, CRD 133978

MOORESVILLE, NC

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:ae02227e-6027-7a95-fbbd-221e509038f2

Data as of Jun 3, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:25 AM UTC and rebuilt at most every 15 minutes.

Relationships: 38
Dated events: 15
On other graphs: 1
Observed: Mar 16, 2012 to Jun 3, 2026
149 observations

Right now

one signal names this record (all ria / wealth signals)

#1NewDerived metricAdvisor Recruiting Intelligence

3 advisors left Namcoa (Mooresville, NC) for I•••••••• A••••••• S•••••••• on the same day

Dated 2026-08-05 (filing); first seen by DFX 2026-09-15.

Exposure: exposure unknown
Who this matters to: RIA aggregators, Advisor recruiters +2
Historical: not a measured predictor

I•••••••• A••••••• S•••••••• · destination firm

Advisor Recruiting IntelligenceAug 5, 2026 · seen 7 days ago

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Allocatorsidentity

N•••••

Investment consultant · shared crd

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: mixed wealth managerderivedprivate_client_share=0.32 fund_share=0.0 institutional_share=0.68 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $404MItem 5.F on the latest filing (2026-06-03); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $386M
Private client RAUM: $129MderivedItem 5.D individuals plus high net worth individuals
Private client share: 32%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 7
RAUM per advisor

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
B•••• E••• S••••	Certified Financial Planner	MOORESVILLE, NC \| NAPLES, FL \| FORT MYERS, FL \| Fort Myers, FL	18	20	2	no
A••• V••••• W•••••••••	Chartered Financial Analyst	MOORESVILLE, NC \| Estero, FL	13

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
M•••••••• P•••• J•••••	MEMBER & CHIEF COMPLIANCE OFFICER	C	yes	12/2004	Mar 16, 2012	Dec 13, 2024
R•••• W•••••••• S••••• R••••	MEMBER & CHAIRPERSON	D	yes	02/2024	Feb 8, 2024

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
Phoenix	Az	United States	2	no
Summerfield	FL	United States	2	no
FORT MYERS	FL	United States	1	no
Ocala	FL	United States	1	no
Snellville	Ga

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line; showing 15 of 17

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	7	-7	100.0%	0	3	0	2	10

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$404M	$312M	29.5%	$236M	19.7%	11	16	4	7

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
I•••••••• A••••••• S••••••••	3	Aug 5, 2026	Aug 4, 2026	MOORESVILLE, NC	Team lift out	RIA to RIA	30.0%

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
W•••••••••	2	Jul 15, 2016	Jun 28, 2016	SAN LUIS OBISPO, CA	Team lift out	Other	11.8%

Relationships

Registered with (29)

← C••• D••••Advisorregistration: current employment
Jul 16, 2025 to presentfactForm ADV
← M•••••• C••••••Advisorregistration: current employment
Nov 10, 2022 to presentfactForm ADV
← M•••••• P••• F••••Advisorregistration: current employment
Jun 22, 2021 to presentfactForm ADV
← D••• R••• B•••Advisor

Dated events

2 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Aug 5, 2026
Team lift-out
3 advisors left N••••• (Mooresville, NC) for I•••••••• A••••••• S•••••••• on the same day
Form ADVobserved 7 days ago
3 advisors
Occurred
Aug 5, 2026
Advisor changed firm
Kevin Edward Sullivan left N••••• for I•••••••• A••••••• S•••••••• (registered 2026-08-04)
Form ADVobserved 7 days ago
Occurred
Aug 5, 2026
Advisor changed firm
Tyler B Ashley left N••••• for I•••••••• A••••••• S•••••••• (registered 2026-08-04)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:ae02227e-6027-7a95-fbbd-221e509038f2
First observed: Mar 16, 2012
Last observed: Jun 3, 2026 3 months ago
Source families: Federal regulator filings
3 registered feeds 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.