DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)30 years in industry

M•••••• M•••• B••••••

Advisor at U•• F•••••••• S••••••• I•••

Cincinnati, OH | CINCINNATI, OH

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Search this name across graphsid dfx:ria:45b4a5b6-8ead-31e4-d0e2-ef0659b2baa1

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 11:59 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Mar 1, 2006 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: U•• F•••••••• S••••••• I•••
Current firm class: wirehousederived
Book size: not public••• Locked
Industry start: Jul 2, 1996earliest registration or exam on IAPD
Years in industry: 30derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
U•• F•••••••• S••••••• I•••	Wirehouse	Aug 30, 2021	n/a	yes	CINCINNATI, OH\|Cincinnati, OH	Current employment
O•••• W•••••• I•••	Bd affiliated wealth	Nov 2, 2018	Feb 19, 2021	no	SCOTTSDALE, AZ\|BOSTON, MA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
O•••• W•••••• I•••	U•• F•••••••• S••••••• I•••	Feb 19, 2021	Aug 30, 2021	192	Firm change	Ibd to wirehouse
S••••••• I••••••••• I•••	O•••• W•••••• I•••	Nov 2, 2018	Nov 2, 2018

Relationships

Registered with (6)

→ U•• F•••••••• S••••••• I•••Registered adviserregistration: current employment
Aug 30, 2021 to presentfactForm ADV
→ O•••• W•••••• I•••Registered adviserregistration: previous registration
Nov 2, 2018 to Feb 19, 2021factForm ADV
→ S••••••• I••••••••• I•••Registered adviserregistration: previous registration
May 13, 2016 to Nov 2, 2018factForm ADV
→ T••••••••• F•••••••• A•••••••• L••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:45b4a5b6-8ead-31e4-d0e2-ef0659b2baa1
First observed: Mar 1, 2006
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.