DFX Intelligence

R••• F•••• A••••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)23 years in industry

R••• F•••• A••••••••

Advisor at C•••••••• I••••••••• R••••••• A•••••••• I•••

Cincinnati, OH | Louisville, KY

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Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 6:47 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Jun 12, 2006 to Sep 15, 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: C•••••••• I••••••••• R••••••• A•••••••• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Aug 1, 2003earliest registration or exam on IAPD
Years in industry: 23derivedfrom the industry start date
Years at current firm: 8derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C•••••••• I••••••••• R••••••• A•••••••• I•••	Bd affiliated wealth	Oct 17, 2017	n/a	yes	Cincinnati, OH\|Louisville, KY	Current employment
I••••• F•••••••• C•••••••••	Former SEC adviser	May 1, 2007	Oct 19, 2017	no	CINCINNATI, OH

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
I••••• F•••••••• C•••••••••	C•••••••• I••••••••• R••••••• A•••••••• I•••	Oct 19, 2017	Oct 17, 2017	-2	Firm change	Other
T•• R••••••• F•••••••• G••••• I•••	I••••• F•••••••• C•••••••••	Nov 13, 2007	May 1, 2007

Team moves

••• Locked

Team	Left	Joined	From	Kind
12984:134139:OH:2017-10-17	Oct 19, 2017	Oct 17, 2017	CINCINNATI, OH	Firm change

Relationships

Registered with (3)

→ C•••••••• I••••••••• R••••••• A•••••••• I•••Registered adviserregistration: current employment
Oct 17, 2017 to presentfactForm ADV
→ I••••• F•••••••• C•••••••••Registered adviserregistration: previous registration
May 1, 2007 to Oct 19, 2017factForm ADV
→ T•• R••••••• F•••••••• G••••• I•••Registered adviserregistration: previous registration
Jun 12, 2006 to Nov 13, 2007factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Jun 12, 2006
Last observed: Sep 15, 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.