DFX Intelligence

F•••• C••••• A•••••••: registered adviser on the ria / wealth management graph | DFX Data Factory

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM none

F•••• C••••• A•••••••

CRD 164886

LOUISVILLE, KY

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:530b5cdf-c592-1b11-763e-175527ef53dd

Data as of Apr 6, 2018 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:42 PM UTC and rebuilt at most every 15 minutes.

Relationships: 15
Dated events: 1
On other graphs: 0
Observed: Sep 17, 2012 to Apr 6, 2018
10 observations

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

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Private client RAUM: $0derived••• Locked
Advisors on IAPD: 0
Employees: 2
Advisory employees: 0
Offices: 1Schedule D 1.F, beyond the principal office
SEC number: 801-77178
CRD: 164886

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B••••••••• S•••••• L•••	HUMAN RESOURCES/BOARD MEMBER	B	yes	04/2007	Mar 21, 2016	Apr 6, 2018
C••••••• T••••• D••••••	VICE PRESIDENT/BOARD MEMBER	Na	yes	11/2015	Mar 21, 2016	Apr 6, 2018

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2017	Dec 7, 2017	n/a	n/a	2	0	1	n/a	n/a
2016	Nov 23, 2016

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2017	n/a	n/a	n/a	n/a	n/a	2	4	1	n/a

Relationships

Controls (10)

← K•••••• R••••••• S•••••OwnerBRANCH MANAGER/MUNI PRINCIPAL, ownership code C, individual
Dec 8, 2015 to presentfactForm ADV
← O••••••• K••••• P••••••OwnerSR VICE PRESIDENT, ownership code B, individual
Mar 21, 2016 to presentfactForm ADV
← B••••••••• S•••••• L•••OwnerHUMAN RESOURCES/BOARD MEMBER, ownership code B, individual
Mar 21, 2016 to presentfactForm ADV
← F••••••• W••••••• C•••••••OwnerSR VICE PRESIDENT & BOARD MEMBER, ownership code B, individual
Mar 21, 2016 to present

Dated events

Occurred
Sep 17, 2012
Ria f•••• adv filing
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:530b5cdf-c592-1b11-763e-175527ef53dd
First observed: Sep 17, 2012
Last observed: Apr 6, 2018 103 months ago
Source families: Federal regulator filings
3 registered feeds 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.