DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)40 years in industry

N••• R••••• B••••••••

Advisor at O•••• W•••••• I•••

West Chester, OH | CINCINNATI, OH

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Search this name across graphsid dfx:ria:32386735-ccf7-5529-efa0-5df4e076b773

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 11:45 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Oct 10, 2001 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: O•••• W•••••• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Jul 15, 1986earliest registration or exam on IAPD
Years in industry: 40derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
O•••• W•••••• I•••	Bd affiliated wealth	Jun 14, 2024	n/a	yes	West Chester, OH\|CINCINNATI, OH	Current employment
S••••••••• A•••••• A•••••••• I•••	Former SEC adviser	Jan 23, 2009	Jun 14, 2024	no	LAVISTA, NE\|CINCINNATI, OH\|CINCINNATI, OH

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
S••••••••• A•••••• A•••••••• I•••	O•••• W•••••• I•••	Jun 14, 2024	Jun 14, 2024	0	Bulk transfer	Ibd to ibd
B••••• • Y•••• A•••••••• I•••	S••••••••• A•••••• A•••••••• I•••	Jan 23, 2009	Jan 23, 2009

Relationships

Registered with (3)

→ O•••• W•••••• I•••Registered adviserregistration: current employment
Jun 14, 2024 to presentfactForm ADV
→ S••••••••• A•••••• A•••••••• I•••Registered adviserregistration: previous registration
Jan 23, 2009 to Jun 14, 2024factForm ADV
→ B••••• • Y•••• A•••••••• I•••Registered adviserregistration: previous registration
Oct 10, 2001 to Jan 23, 2009factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:32386735-ccf7-5529-efa0-5df4e076b773
First observed: Oct 10, 2001
Last observed: Sep 15, 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.