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

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RIA / WealthAdvisordual registered (broker-dealer)34 years in industry

M••• A•••• N•••••

Advisor at S••••• O•• S••••••••• I•••

Louisville, KY

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Search this name across graphsid dfx:ria:5a4fae40-3191-d401-2141-5507c0d9663f

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 1:24 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 2
On other graphs: 0
Observed: Jul 25, 2008 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: S••••• O•• S••••••••• I•••
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: Jul 1, 1992earliest registration or exam on IAPD
Years in industry: 34derivedfrom the industry start date
Years at current firm: 0derivedfrom 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
S••••• O•• S••••••••• I•••	Bd affiliated wealth	Feb 10, 2026	n/a	yes	Louisville, KY	Current employment
L••••• A••••••• S•••••••	n/a	Oct 28, 2021	Jan 6, 2023	no

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
R••••••••• P••••••• S••••••••• L••	L••••• A••••••• S•••••••	Jul 1, 2026	Oct 28, 2021	-1,707	Firm change after gap	Other
L••••• A••••••• S•••••••	S••••• O•• S••••••••• I•••	Jan 6, 2023

Relationships

Registered with (7)

→ S••••• O•• S••••••••• I•••Registered adviserregistration: current employment
Feb 10, 2026 to presentfactForm ADV
→ R••••••••• P••••••• S••••••••• L••Registered adviserregistration: previous registration
May 19, 2021 to Jul 1, 2026factForm ADV
→ L••••• A••••••• S•••••••Registered adviserregistration: previous registration
Oct 28, 2021 to Jan 6, 2023factForm ADV
→ M•••••• A••••••• S•••••••• L••

Dated events

Occurred
Jul 1, 2026
Advisor changed firm
M••• A•••• N••••• left R••••••••• P••••••• S••••••••• L•• for L••••• A••••••• S••••••• (registered 2021-10-28)
Form ADVobserved 6 days ago
Occurred
Jan 6, 2023
Advisor changed firm
M••• A•••• N••••• left L••••• A••••••• S••••••• for S••••• O•• S••••••••• I••• (registered 2026-02-10)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:5a4fae40-3191-d401-2141-5507c0d9663f
First observed: Jul 25, 2008
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.