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

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RIA / WealthAdvisordual registered (broker-dealer)11 years in industry

S•••• L••••• M•••••

Advisor at O•••• I••••••••• I•••

WAVERLY, OH

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Search this name across graphsid dfx:ria:3190ae51-ed59-77b3-fe8b-b6702692687b

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 11:40 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 2
On other graphs: 0
Observed: Aug 2, 2021 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: O•••• I••••••••• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Aug 1, 2015earliest registration or exam on IAPD
Years in industry: 11derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
O•••• I••••••••• I•••	Bd affiliated wealth	Sep 12, 2023	n/a	yes	WAVERLY, OH	Current employment
R•••••• J•••• F•••••••• S••••••• A•••••••• I••	Bd affiliated wealth	Mar 1, 2023	Jul 13, 2023	no	Chillicothe, OH

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
R•••••• J•••• F•••••••• S••••••• A•••••••• I••	O•••• I••••••••• I•••	Jul 13, 2023	Sep 12, 2023	61	Firm change	Ibd to ibd
W•••• F•••• A•••••••	R•••••• J•••• F•••••••• S••••••• A•••••••• I••	Mar 6, 2023	Mar 1, 2023

Team moves

••• Locked

Team	Left	Joined	From	Kind
11025:149018:OH:2023-03-06	Mar 6, 2023	Mar 1, 2023	CHILLICOTHE, OH	Firm change

Relationships

Registered with (3)

→ O•••• I••••••••• I•••Registered adviserregistration: current employment
Sep 12, 2023 to presentfactForm ADV
→ R•••••• J•••• F•••••••• S••••••• A•••••••• I••Registered adviserregistration: previous registration
Mar 1, 2023 to Jul 13, 2023factForm ADV
→ W•••• F•••• A•••••••Registered adviserregistration: previous registration
Aug 2, 2021 to Mar 6, 2023factForm ADV

Dated events

Occurred
Jul 13, 2023
Advisor changed firm
S•••• L••••• M••••• left R•••••• J•••• F•••••••• S••••••• A•••••••• I•• for O•••• I••••••••• I••• (registered 2023-09-12)
Form ADVobserved 7 days ago
Occurred
Mar 6, 2023
Advisor changed firm
S•••• L••••• M••••• left W•••• F•••• A••••••• for R•••••• J•••• F•••••••• S••••••• A•••••••• I•• (registered 2023-03-01)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:3190ae51-ed59-77b3-fe8b-b6702692687b
First observed: Aug 2, 2021
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.