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

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RIA / WealthAdvisordual registered (broker-dealer)25 years in industry

B•••• S•••• M•••••••

Advisor at N•••••• W••••• M•••••••••

Dubuque, IA | GREEN BAY, WI

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:efc32f9d-9f76-6d76-a9ea-360bc7a26c78

Data as of Sep 16, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:17 AM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 3
On other graphs: 0
Observed: Oct 4, 2007 to Sep 16, 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•••••• W••••• M•••••••••
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: Jun 22, 2001earliest registration or exam on IAPD
Years in industry: 25derivedfrom the industry start date
Years at current firm: 0derivedfrom 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
N•••••• W••••• M•••••••••	Independent wealth	Feb 20, 2026	n/a	yes	Dubuque, IA\|GREEN BAY, WI	Current employment
C•••••• C•••••• G••••• I•••	Mixed wealth	Sep 10, 2024	May 14, 2025	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•••••• C•••••• G••••• I•••	N•••••• W••••• M•••••••••	May 14, 2025	Feb 20, 2026	282	Firm change	RIA to RIA
L•• F•••••••• L••	C•••••• C•••••• G••••• I•••	Sep 20, 2024

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
105644:6413:IA:2019-04-30	Apr 30, 2019	May 1, 2019	DUBUQUE, IA	Firm change

Relationships

Registered with (7)

→ N•••••• W••••• M•••••••••Registered adviserregistration: current employment
Feb 20, 2026 to presentfactForm ADV
→ C•••••• C•••••• G••••• I•••Registered adviserregistration: previous registration
Sep 10, 2024 to May 14, 2025factForm ADV
→ L•• F•••••••• L••Registered adviserregistration: previous registration
May 1, 2019 to Sep 20, 2024factForm ADV
→ C••••• I••••••••• A••••••• L••

Dated events

1 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
May 14, 2025
Advisor changed firm
B•••• S•••• M••••••• left C•••••• C•••••• G••••• I••• for N•••••• W••••• M••••••••• (registered 2026-02-20)
Form ADVobserved 7 days ago
Occurred
Sep 20, 2024
Advisor changed firm
B•••• S•••• M••••••• left L•• F•••••••• L•• for C•••••• C•••••• G••••• I••• (registered 2024-09-10)
Form ADVobserved 7 days ago

Show 1 bookkeeping events

Occurred
Sep 15, 2026
B•••• S•••• M••••••• added a WI registration at N•••••• W••••• M•••••••••

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:efc32f9d-9f76-6d76-a9ea-360bc7a26c78
First observed: Oct 4, 2007
Last observed: Sep 16, 2026 6 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.