DFX Intelligence

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

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthAdvisordual registered (broker-dealer)43 years in industry

P••••• N••••• M••••••••

Advisor at N••• C•••••••••

BOCA RATON, FL | SMITHFIELD, VA

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:d5aaf26b-25c9-09d0-7648-50d0b1d49cef

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:26 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Aug 28, 1998 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••• C•••••••••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Jul 13, 1983earliest registration or exam on IAPD
Years in industry: 43derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
N••• C•••••••••	Bd affiliated wealth	May 23, 2024	n/a	yes	SMITHFIELD, VA\|BOCA RATON, FL	Current employment
E••••• J••••	National bd RIA	Feb 1, 2018	Apr 1, 2024	no	SUFFOLK, VA\|Suffolk, VA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
E••••• J••••	N••• C•••••••••	Apr 1, 2024	May 23, 2024	52	Firm change	Ibd to ibd
W•••• F•••• A•••••••	E••••• J••••	Feb 1, 2018	Feb 1, 2018

Relationships

Registered with (4)

→ N••• C•••••••••Registered adviserregistration: current employment
May 23, 2024 to presentfactForm ADV
→ E••••• J••••Registered adviserregistration: previous registration
Feb 1, 2018 to Apr 1, 2024factForm ADV
→ W•••• F•••• A•••••••Registered adviserregistration: previous registration
Jul 1, 2003 to Feb 1, 2018factForm ADV
→ P••••••••• E••••• G••••• L••Registered adviser

Dated events

Occurred
Apr 1, 2024
Advisor changed firm
P••••• N••••• M•••••••• left E••••• J•••• for N••• C••••••••• (registered 2024-05-23)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:d5aaf26b-25c9-09d0-7648-50d0b1d49cef
First observed: Aug 28, 1998
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.