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A••••• T• S•••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)16 years in industry

A••••• T• S•••••••

Advisor at R••••••••• C•••••• M•••••••••

Cincinnati, OH | Chicago, IL

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Search this name across graphsid dfx:ria:06ae5e71-7b79-e2ba-df2b-b55488174b7f

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 12:17 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Apr 29, 2010 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: R••••••••• C•••••• M•••••••••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Mar 10, 2010earliest registration or exam on IAPD
Years in industry: 16derivedfrom the industry start date
Years at current firm: 5derivedfrom 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
R••••••••• C•••••• M•••••••••	Bd affiliated wealth	Mar 19, 2021	n/a	yes	Cincinnati, OH\|Chicago, IL	Current employment
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	Wirehouse	Jun 20, 2011	Mar 23, 2021	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
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	R••••••••• C•••••• M•••••••••	Mar 23, 2021	Mar 19, 2021	-4	Firm change	Wirehouse to ibd
C••••••• C••••••• I•••	M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	Jan 28, 2011

Team moves

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

Team	Left	Joined	From	Kind
7691:291361:OH:2021-03-22	Mar 23, 2021	Mar 19, 2021	CINCINNATI, OH	Firm change

Relationships

Registered with (3)

→ R••••••••• C•••••• M•••••••••Registered adviserregistration: current employment
Mar 19, 2021 to presentfactForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Registered adviserregistration: previous registration
Jun 20, 2011 to Mar 23, 2021factForm ADV
→ C••••••• C••••••• I•••Registered adviserregistration: previous registration
Apr 29, 2010 to Jan 28, 2011factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:06ae5e71-7b79-e2ba-df2b-b55488174b7f
First observed: Apr 29, 2010
Last observed: Sep 14, 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.