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

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)11 years in industry

J••••• S••••• S•••••

Advisor at N•••••• C•••••• G••••• L••

RED BANK, NJ

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Search this name across graphsid dfx:ria:c2a0e5b6-a49b-93c0-01bd-2bc94e5e289c

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

Relationships: 2
Dated events: 1
On other graphs: 0
Observed: Jul 28, 2015 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•••••• C•••••• G••••• L••
Current firm class: mixed wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: May 1, 2015earliest registration or exam on IAPD
Years in industry: 11derivedfrom the industry start date
Years at current firm: 3derivedfrom 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
N•••••• C•••••• G••••• L••	Mixed wealth	Sep 8, 2023	n/a	yes	RED BANK, NJ	Current employment
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	Wirehouse	Jul 28, 2015	Sep 6, 2023	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
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	N•••••• C•••••• G••••• L••	Sep 6, 2023	Sep 8, 2023	2	Firm change	Wirehouse to RIA

Relationships

Registered with (2)

→ N•••••• C•••••• G••••• L••Registered adviserregistration: current employment
Sep 8, 2023 to presentfactForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Registered adviserregistration: previous registration
Jul 28, 2015 to Sep 6, 2023factForm ADV

Dated events

Occurred
Sep 6, 2023
Advisor changed firm
J••••• S••••• S••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for N•••••• C•••••• G••••• L•• (registered 2023-09-08)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:c2a0e5b6-a49b-93c0-01bd-2bc94e5e289c
First observed: Jul 28, 2015
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.