DFX Intelligence

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

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RIA / WealthAdvisor29 years in industry

C•••• R•••• W•••••

Advisor at W•••••• A•••••••• L••

Hamilton, OH | BIRMINGHAM, AL

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Search this name across graphsid dfx:ria:29eec973-b1e0-2727-00f6-12260a0e75f6

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 5:52 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Oct 6, 1999 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: W•••••• A•••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Jan 1, 1997earliest registration or exam on IAPD
Years in industry: 29derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
W•••••• A•••••••• L••	Independent wealth	Oct 22, 2024	n/a	yes	Hamilton, OH\|BIRMINGHAM, AL	Current employment
9••• W••••• M••••••••• L••	Former SEC adviser	Jan 3, 2020	Dec 2, 2024	no	Hamilton, OH	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
9••• W••••• M••••••••• L••	W•••••• A•••••••• L••	Dec 2, 2024	Oct 22, 2024	-41	Firm change after gap	RIA to RIA
N••••••• R••••••••• C••••••••• I••	9••• W••••• M••••••••• L••	Feb 5, 2020	Jan 3, 2020

Team moves

••• Locked

Team	Left	Joined	From	Kind
290693:115332:OH:2024-12-02	Dec 2, 2024	Oct 22, 2024	HAMILTON, OH	Firm change after gap
106692:290693:OH:2020-02-05	Feb 5, 2020	Jan 3, 2020	HAMILTON, OH	Firm change after gap

Relationships

Registered with (3)

→ W•••••• A•••••••• L••Registered adviserregistration: current employment
Oct 22, 2024 to presentfactForm ADV
→ 9••• W••••• M••••••••• L••Registered adviserregistration: previous registration
Jan 3, 2020 to Dec 2, 2024factForm ADV
→ N••••••• R••••••••• C••••••••• I••Registered adviserregistration: previous registration
Oct 6, 1999 to Feb 5, 2020factForm ADV

Dated events

Occurred
Dec 2, 2024
Advisor changed firm
C•••• R•••• W••••• left 9••• W••••• M••••••••• L•• for W•••••• A•••••••• L•• (registered 2024-10-22)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:29eec973-b1e0-2727-00f6-12260a0e75f6
First observed: Oct 6, 1999
Last observed: Sep 15, 2026 7 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.