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

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RIA / WealthAdvisordual registered (broker-dealer)10 years in industry

N••••••• L•••• S•••••

Advisor at C••••••••• F•••••••• N••••••

COLUMBIA, SC

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Search this name across graphsid dfx:ria:cb5639fb-49b7-e8a0-face-13ecde9ff1c7

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 5:49 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 2
On other graphs: 0
Observed: Sep 7, 2023 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••••••••• F•••••••• N••••••
Current firm class: national broker-dealer RIAderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jul 1, 2016earliest registration or exam on IAPD
Years in industry: 10derivedfrom the industry start date
Years at current firm: 2derivedfrom 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••••••••• F•••••••• N••••••	National bd RIA	Jul 16, 2024	n/a	yes	COLUMBIA, SC	Current employment
W•••••• I••••••••• L••	Independent wealth	Jan 16, 2024	Aug 23, 2024	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
W•••••• I••••••••• L••	C••••••••• F•••••••• N••••••	Aug 23, 2024	Jul 16, 2024	-38	Firm change after gap	RIA to ibd
P••• A••••• S••••••••• L••	W•••••• I••••••••• L••	Dec 15, 2023

Relationships

Registered with (3)

→ C••••••••• F•••••••• N••••••Registered adviserregistration: current employment
Jul 16, 2024 to presentfactForm ADV
→ W•••••• I••••••••• L••Registered adviserregistration: previous registration
Jan 16, 2024 to Aug 23, 2024factForm ADV
→ P••• A••••• S••••••••• L••Registered adviserregistration: previous registration
Sep 7, 2023 to Dec 15, 2023factForm ADV

Dated events

Occurred
Aug 23, 2024
Advisor changed firm
N••••••• L•••• S••••• left W•••••• I••••••••• L•• for C••••••••• F•••••••• N•••••• (registered 2024-07-16)
Form ADVobserved 7 days ago
Occurred
Dec 15, 2023
Advisor changed firm
N••••••• L•••• S••••• left P••• A••••• S••••••••• L•• for W•••••• I••••••••• L•• (registered 2024-01-16)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:cb5639fb-49b7-e8a0-face-13ecde9ff1c7
First observed: Sep 7, 2023
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.