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A••• E••••• Y•••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)35 years in industry

A••• E••••• Y•••••••

Advisor at C•••••• A•••••••

CLEVELAND, OH | Cleveland, OH

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Search this name across graphsid dfx:ria:49ac1403-a2a5-4c8b-920f-c2230e72021e

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 10:58 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Jan 1, 2000 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: C•••••• A•••••••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: May 28, 1991earliest registration or exam on IAPD
Years in industry: 35derivedfrom the industry start date
Years at current firm: 10derivedfrom the current registration's begin date
Prior firms

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
L•••••• I•••••••••	Independent wealth	Oct 11, 2024	n/a	yes	Cleveland, OH	Current employment
B••••• F•••••••• A••••••• L••	Independent wealth	Oct 7, 2015	n/a	yes	CLEVELAND, OH

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
S••••••••• A•••••• A•••••••• I•••	C•••••• A•••••••	Oct 2, 2015	Oct 1, 2015	-1	Firm change	Other
O•••• F•• I•••	S••••••••• A•••••• A•••••••• I•••	Aug 12, 2005

Relationships

Registered with (5)

→ L•••••• I•••••••••Registered adviserregistration: current employment
Oct 11, 2024 to presentfactForm ADV
→ B••••• F•••••••• A••••••• L••Registered adviserregistration: current employment
Oct 7, 2015 to presentfactForm ADV
→ C•••••• A•••••••Registered adviserregistration: current employment
Oct 1, 2015 to presentfactForm ADV
→ S••••••••• A•••••• A•••••••• I•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:49ac1403-a2a5-4c8b-920f-c2230e72021e
First observed: Jan 1, 2000
Last observed: Sep 15, 2026 6 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.