DFX Intelligence

S•• M••••••• A•••• M•••••••••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserState registeredState registeredRAUM under $100M

S•• M••••••• A•••• M•••••••••

S•• M••••••• A•••• M•••••••••, LLC, CRD 121201

ST. M•••••••, MD

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Data as of Mar 23, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 5:21 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Mar 23, 2026 to Mar 23, 2026
1 observations

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

Firm class: state registeredderivedon the IAPD state feed, not SEC-registered
Regulatory AUM: $3.8M••• Locked
Discretionary RAUM: $3.7M
Private client RAUM: $3.8Mderived••• Locked
Private client share: 100%derivedprivate client RAUM over total RAUM
Employees: 1
Advisory employees: 1

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
N••••• E•••• T•••••••	n/a	ST.M•••••••, MD	19	44	n/a	no

Relationships

Registered with (2)

← N••••• E•••• T•••••••Advisorregistration: current employment
Jan 11, 2007 to presentfactForm ADV
← K•••••• S••••• M•••••••Advisorregistration: previous registration
Jul 30, 2008 to Nov 16, 2010factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Mar 23, 2026
Last observed: Mar 23, 2026 6 months ago
Source families: Federal regulator filings
3 registered feeds 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.