DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)21 years in industry

S•••••• A••••• M••••••

Advisor at P•••••• C••••• S•••••••• L••

Kenton, OH | LOUISVILLE, KY

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Search this name across graphsid dfx:ria:46975894-62ae-5f67-81c9-cd9c56469d96

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 1:14 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Jan 11, 2005 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: P•••••• C••••• S•••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Jan 11, 2005earliest registration or exam on IAPD
Years in industry: 21derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
P•••••• C••••• S•••••••• L••	Bd affiliated wealth	May 5, 2025	n/a	yes	Kenton, OH\|LOUISVILLE, KY	Current employment
H••••••• W••••• P•••••••• L••	Former SEC adviser	Nov 21, 2017	Jul 10, 2025	no	KENTON, OH\|DUBLIN, OH

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
H••••••• W••••• P•••••••• L••	P•••••• C••••• S•••••••• L••	Jul 10, 2025	May 5, 2025	-66	Firm change after gap	RIA to ibd
L•• F•••••••• L••	H••••••• W••••• P•••••••• L••	Nov 28, 2017	Nov 21, 2017

Team moves

••• Locked

Team	Left	Joined	From	Kind
290276:120222:OH:2025-07-10	Jul 10, 2025	May 5, 2025	DUBLIN, OH	Firm change after gap
6413:290276:OH:2017-11-15	Nov 28, 2017	Nov 21, 2017	KENTON, OH	Firm change

Relationships

Registered with (4)

→ P•••••• C••••• S•••••••• L••Registered adviserregistration: current employment
May 5, 2025 to presentfactForm ADV
→ H••••••• W••••• P•••••••• L••Registered adviserregistration: previous registration
Nov 21, 2017 to Jul 10, 2025factForm ADV
→ L•• F•••••••• L••Registered adviserregistration: previous registration
Mar 13, 2006 to Nov 28, 2017factForm ADV
→ R•••• A•••• M••••••••• L••Registered adviser

Dated events

Occurred
Jul 10, 2025
Advisor changed firm
S•••••• A••••• M•••••• left H••••••• W••••• P•••••••• L•• for P•••••• C••••• S•••••••• L•• (registered 2025-05-05)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:46975894-62ae-5f67-81c9-cd9c56469d96
First observed: Jan 11, 2005
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.