DFX Intelligence

D••••• V• R••••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)14 years in industry

D••••• V• R••••••••

Advisor at J••• M••••• S••••••••• L••

FT. THOMAS, KY

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Search this name across graphsid dfx:ria:0597804c-b406-32b8-2f8a-f436a843d361

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:53 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Aug 5, 2016 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: J••• M••••• S••••••••• L••
Current firm class: wirehousederived
Book size: not public••• Locked
Industry start: Jul 1, 2012earliest registration or exam on IAPD
Years in industry: 14derivedfrom the industry start date
Years at current firm: 8derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
J••• M••••• S••••••••• L••	Wirehouse	Sep 29, 2017	n/a	yes	FT. THOMAS, KY	Current employment
W•••••• • R•••	Former SEC adviser	Aug 5, 2016	Aug 17, 2017	no	LOUISVILLE, KY	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
W•••••• • R•••	J••• M••••• S••••••••• L••	Aug 17, 2017	Sep 29, 2017	43	Firm change	Other

Relationships

Registered with (2)

→ J••• M••••• S••••••••• L••Registered adviserregistration: current employment
Sep 29, 2017 to presentfactForm ADV
→ W•••••• • R•••Registered adviserregistration: previous registration
Aug 5, 2016 to Aug 17, 2017factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:0597804c-b406-32b8-2f8a-f436a843d361
First observed: Aug 5, 2016
Last observed: Sep 14, 2026 9 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.