DFX Intelligence

T••••• L•• D•••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)20 years in industry

T••••• L•• D•••••••

Advisor at S•••••• N••••••• • C••••••• I•••••••••

BLUE ASH, OH

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Search this name across graphsid dfx:ria:63867397-43cf-429f-6c41-14b70171d391

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 3:16 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Sep 2, 2009 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•••••• N••••••• • C••••••• I•••••••••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Aug 23, 2006earliest registration or exam on IAPD
Years in industry: 20derivedfrom the industry start date
Years at current firm: 9derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S•••••• N••••••• • C••••••• I•••••••••	National bd RIA	Oct 20, 2016	n/a	yes	BLUE ASH, OH	Current employment
U•• F•••••••• S••••••• I•••	Wirehouse	Dec 7, 2015	Oct 18, 2016	no	CINCINNATI, OH	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
U•• F•••••••• S••••••• I•••	S•••••• N••••••• • C••••••• I•••••••••	Oct 18, 2016	Oct 20, 2016	2	Firm change	Wirehouse to ibd
W•••• F•••• A•••••••	U•• F•••••••• S••••••• I•••	Nov 27, 2015	Dec 7, 2015

Team moves

••• Locked

Team	Left	Joined	From	Kind
19616:8174:OH:2015-11-27	Nov 27, 2015	Dec 7, 2015	CINCINNATI, OH	Firm change

Relationships

Registered with (4)

→ S•••••• N••••••• • C••••••• I•••••••••Registered adviserregistration: current employment
Oct 20, 2016 to presentfactForm ADV
→ U•• F•••••••• S••••••• I•••Registered adviserregistration: previous registration
Dec 7, 2015 to Oct 18, 2016factForm ADV
→ W•••• F•••• A•••••••Registered adviserregistration: previous registration
Oct 13, 2015 to Nov 27, 2015factForm ADV
→ R••••• W• B•••• • C•• I•••••••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:63867397-43cf-429f-6c41-14b70171d391
First observed: Sep 2, 2009
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.