DFX Intelligence

L•••••• D• P••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisor22 years in industry

L•••••• D• P••••

Advisor at N•••••• A•••••••

••• Locked

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Search this name across graphsid dfx:ria:dbfd8fac-0614-346e-338d-0b9969dbcd1e

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:28 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: May 20, 2004 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•••••• A•••••••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Mar 18, 2004earliest registration or exam on IAPD
Years in industry: 22derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
N•••••• A•••••••	Bd affiliated wealth	Jun 11, 2025	n/a	yes	NEW ORLEANS, LA\|New City, NY\|Sparta, NJ	Current employment
A••••• G••••• C•••••• A••••••• L••	n/a	Mar 30, 2012	Nov 27, 2025	no	NEW CITY, NY

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
A••••• G••••• C•••••• A••••••• L••	N•••••• A•••••••	Nov 27, 2025	Jun 11, 2025	-169	Firm change after gap	Other
H•••••• S•••• C•••••• M••••••••• L••	A••••• G••••• C•••••• A••••••• L••	Mar 29, 2005	Mar 30, 2012

Relationships

Registered with (3)

→ N•••••• A•••••••Registered adviserregistration: current employment
Jun 11, 2025 to presentfactForm ADV
→ A••••• G••••• C•••••• A••••••• L••Registered adviserregistration: previous registration
Mar 30, 2012 to Nov 27, 2025factForm ADV
→ H•••••• S•••• C•••••• M••••••••• L••Registered adviserregistration: previous registration
May 20, 2004 to Mar 29, 2005factForm ADV

Dated events

Occurred
Nov 27, 2025
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:dbfd8fac-0614-346e-338d-0b9969dbcd1e
First observed: May 20, 2004
Last observed: Sep 15, 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.