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RIA / WealthAdvisor38 years in industry

ROY ELMER MCGUFFIN

Advisor at KAPSTONE FINANCIAL ADVISORS LLC

LEBANON, OH

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Search this name across graphsid dfx:ria:274ea45a-8e16-dd55-c0fb-1dca3368c3fb

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 1:32 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Jun 30, 2003 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: KAPSTONE FINANCIAL ADVISORS LLC
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Mar 29, 1988earliest registration or exam on IAPD
Years in industry: 38derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S65|S63
First exam: Mar 29, 1988
First registration: Jun 30, 2003
Dual registered: no
IAPD individual key: 1803305

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
KAPSTONE FINANCIAL ADVISORS LLC	Independent wealth	Mar 29, 2022	n/a	yes	LEBANON, OH	Current employment
B. RILEY WEALTH ADVISORS, INC.	Bd affiliated wealth	Sep 29, 2020	Apr 1, 2022	no	DAYTON, OH	Previous registration
UNITED ADVISORS SERVICES, LLC	Former SEC adviser	Jan 22, 2018	Sep 18, 2020	no	Cincinatti, OH	Previous registration
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Oct 5, 2009	Sep 28, 2017	no	Cincinnati, OH	Previous registration
AMERIPRISE ADVISOR SERVICES, INC.	n/a	Jun 30, 2003	Oct 5, 2009	no	BLUE ASH, OH\|CINCINNATI, OH\|CINCINNATI, OH	Previous registration

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
B. RILEY WEALTH ADVISORS, INC.	KAPSTONE FINANCIAL ADVISORS LLC	Apr 1, 2022	Mar 29, 2022	-3	Firm change	Ibd to new firm
UNITED ADVISORS SERVICES, LLC	B. RILEY WEALTH ADVISORS, INC.	Sep 18, 2020	Sep 29, 2020	11	Firm change	RIA to ibd
AMERIPRISE FINANCIAL SERVICES, LLC	UNITED ADVISORS SERVICES, LLC	Sep 28, 2017	Jan 22, 2018	116	Firm change	Other
AMERIPRISE ADVISOR SERVICES, INC.	AMERIPRISE FINANCIAL SERVICES, LLC	Oct 5, 2009	Oct 5, 2009	0	Bulk transfer	Other

Team moves

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

Team	Left	Joined	From	Kind
115927:318885:OH:2022-04-01	Apr 1, 2022	Mar 29, 2022	DAYTON, OH	Firm change

Relationships

Registered with (5)

→ KAPSTONE FINANCIAL ADVISORS LLCRegistered adviserregistration: current employment
Mar 29, 2022 to presentfactForm ADV
→ B. RILEY WEALTH ADVISORS, INC.Registered adviserregistration: previous registration
Sep 29, 2020 to Apr 1, 2022factForm ADV
→ UNITED ADVISORS SERVICES, LLCRegistered adviserregistration: previous registration
Jan 22, 2018 to Sep 18, 2020factForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Oct 5, 2009 to Sep 28, 2017factForm ADV
→ AMERIPRISE ADVISOR SERVICES, INC.Registered adviserregistration: previous registration
Jun 30, 2003 to Oct 5, 2009factForm ADV

Dated events

Occurred
Apr 1, 2022
Advisor changed firm
Roy Elmer Mcguffin left B. Riley Wealth Advisors, Inc. for Kapstone Financial Advisors Llc (registered 2022-03-29)
Form ADVobserved 4 days ago