DFX Intelligence

E••• H•••••• S••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisor22 years in industry

E••• H•••••• S••••••

Advisor at A••• C•••••• L••

LEXINGTON, KY

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Search this name across graphsid dfx:ria:1605b942-c02c-44bd-e2b5-dfbdfde99d1d

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 10:50 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jul 14, 2004 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: A••• C•••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Jul 13, 2004earliest registration or exam on IAPD
Years in industry: 22derivedfrom the industry start date
Years at current firm: 8derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
A••• C•••••• L••	Independent wealth	Aug 28, 2018	n/a	yes	LEXINGTON, KY	Current employment
B••• I••••••••• S•••••••• I•••	Former SEC adviser	Jan 23, 2007	Apr 27, 2012	no	LEXINGTON, KY\|LEXINGTON, KY\|LEXINGTON, KY\|CHARLOTTE, NC\|LEXINGTON, KY

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
B••• I••••••••• S•••••••• I•••	A••• C•••••• L••	Apr 27, 2012	Aug 28, 2018	2,314	Firm change after gap	Other
U••• B•••••• I••••••••• I•••	B••• I••••••••• S•••••••• I•••	Jan 19, 2007	Jan 23, 2007

Relationships

Registered with (4)

→ A••• C•••••• L••Registered adviserregistration: current employment
Aug 28, 2018 to presentfactForm ADV
→ B••• I••••••••• S•••••••• I•••Registered adviserregistration: previous registration
Jan 23, 2007 to Apr 27, 2012factForm ADV
→ U••• B•••••• I••••••••• I•••Registered adviserregistration: previous registration
Jan 18, 2006 to Jan 19, 2007factForm ADV
→ A••••••••• F•••••••• S•••••••• L••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:1605b942-c02c-44bd-e2b5-dfbdfde99d1d
First observed: Jul 14, 2004
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.