DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)21 years in industry

R••••• D•••••• R•••

Advisor at W•••• F•••• A•••••••

GRAYSON, KY

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Search this name across graphsid dfx:ria:1e453059-2691-b03c-5990-d4681a33924d

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 2:10 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Jul 25, 2005 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: W•••• F•••• A•••••••
Current firm class: wirehousederived
Book size: not public••• Locked
Industry start: Jul 22, 2005earliest registration or exam on IAPD
Years in industry: 21derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
W•••• F•••• A•••••••	Wirehouse	Jul 21, 2025	n/a	yes	GRAYSON, KY	Current employment
L•• F•••••••• L••	Bd affiliated wealth	Dec 7, 2016	Jul 24, 2025	no	GRAYSON, KY\|Grayson, KY\|SAN DIEGO, CA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
L•• F•••••••• L••	W•••• F•••• A•••••••	Jul 24, 2025	Jul 21, 2025	-3	Firm change	Ibd to wirehouse
U••• B•••••• I••••••••• I•••	L•• F•••••••• L••	Dec 8, 2016	Dec 7, 2016

Team moves

••• Locked

Team	Left	Joined	From	Kind
17868:6413:KY:2016-12-08	Dec 8, 2016	Dec 7, 2016	VERONA, KY	Firm change

Relationships

Registered with (6)

→ W•••• F•••• A•••••••Registered adviserregistration: current employment
Jul 21, 2025 to presentfactForm ADV
→ L•• F•••••••• L••Registered adviserregistration: previous registration
Dec 7, 2016 to Jul 24, 2025factForm ADV
→ U••• B•••••• I••••••••• I•••Registered adviserregistration: previous registration
Apr 1, 2013 to Dec 8, 2016factForm ADV
→ E••••• J••••

Dated events

Occurred
Jul 24, 2025
Advisor changed firm
R••••• D•••••• R••• left L•• F•••••••• L•• for W•••• F•••• A••••••• (registered 2025-07-21)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:1e453059-2691-b03c-5990-d4681a33924d
First observed: Jul 25, 2005
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.