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

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RIA / WealthAdvisordual registered (broker-dealer)22 years in industry

S•••• H• S••••

Advisor at L•• F•••••••• L••

LOUISVILLE, KY

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Search this name across graphsid dfx:ria:225f9316-18d6-3177-6ff9-58460ffc7b2c

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 9:02 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Jan 3, 2017 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: L•• F•••••••• L••
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: Jun 18, 2004earliest registration or exam on IAPD
Years in industry: 22derivedfrom the industry start date
Years at current firm: 3derivedfrom 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
L•• F•••••••• L••	Bd affiliated wealth	Nov 23, 2022	n/a	yes	LOUISVILLE, KY	Current employment
T•• A•••• M••••••••• L••	Independent wealth	Jan 19, 2017	Nov 29, 2022	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
T•• A•••• M••••••••• L••	L•• F•••••••• L••	Nov 29, 2022	Nov 23, 2022	-6	Firm change	RIA to RIA
U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P••••••	T•• A•••• M••••••••• L••	Jan 17, 2018

Relationships

Registered with (3)

→ L•• F•••••••• L••Registered adviserregistration: current employment
Nov 23, 2022 to presentfactForm ADV
→ T•• A•••• M••••••••• L••Registered adviserregistration: previous registration
Jan 19, 2017 to Nov 29, 2022factForm ADV
→ U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P••••••Registered adviserregistration: previous registration
Jan 3, 2017 to Jan 17, 2018factForm ADV

Dated events

Occurred
Nov 29, 2022
Advisor changed firm
S•••• H• S•••• left T•• A•••• M••••••••• L•• for L•• F•••••••• L•• (registered 2022-11-23)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:225f9316-18d6-3177-6ff9-58460ffc7b2c
First observed: Jan 3, 2017
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.