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

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RIA / WealthAdvisordual registered (broker-dealer)18 years in industry

N••••••• M•••••

Advisor at S•••••••• E••••• P•••••••• L••

Westerville, OH

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Search this name across graphsid dfx:ria:ce525e1f-9493-4c7d-d1c8-bea7f12fe544

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 11:32 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 1
On other graphs: 0
Observed: Nov 8, 2010 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: S•••••••• E••••• P•••••••• L••
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Apr 1, 2008earliest registration or exam on IAPD
Years in industry: 18derivedfrom 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
S•••••••• E••••• P•••••••• L••	Independent wealth	Nov 15, 2023	n/a	yes	Westerville, OH	Current employment
C•••••••• I••••••••• R••••••• A•••••••• I•••	Bd affiliated wealth	Mar 16, 2020	Nov 24, 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
C•••••••• I••••••••• R••••••• A•••••••• I•••	S•••••••• E••••• P•••••••• L••	Nov 24, 2023	Nov 15, 2023	-9	Firm change	Ibd to new firm
T•• A•••• M••••••••• L••	C•••••••• I••••••••• R••••••• A•••••••• I•••	Mar 9, 2020

Relationships

Registered with (7)

→ S•••••••• E••••• P•••••••• L••Registered adviserregistration: current employment
Nov 15, 2023 to presentfactForm ADV
→ C•••••••• I••••••••• R••••••• A•••••••• I•••Registered adviserregistration: previous registration
Mar 16, 2020 to Nov 24, 2023factForm ADV
→ T•• A•••• M••••••••• L••Registered adviserregistration: previous registration
Jan 9, 2019 to Mar 9, 2020factForm ADV
→ C••••• I••••••••• A••••••• L••

Dated events

Occurred
Nov 24, 2023
Advisor changed firm
N••••••• M••••• left C•••••••• I••••••••• R••••••• A•••••••• I••• for S•••••••• E••••• P•••••••• L•• (registered 2023-11-15)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:ce525e1f-9493-4c7d-d1c8-bea7f12fe544
First observed: Nov 8, 2010
Last observed: Sep 14, 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.