DFX Intelligence

C•••••• L••• K•••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)16 years in industry

C•••••• L••• K•••••••

Advisor at A••••••••• F•••••••• S•••••••• L••

Florence, KY | Fort Mitchell, KY

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Search this name across graphsid dfx:ria:6441518c-0fd5-f52a-26e9-bd21595bb5f5

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:15 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Mar 25, 2015 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: A••••••••• F•••••••• S•••••••• L••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Mar 2, 2010earliest registration or exam on IAPD
Years in industry: 16derivedfrom the industry start date
Years at current firm: 10derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
A••••••••• F•••••••• S•••••••• L••	National bd RIA	Jun 27, 2016	n/a	yes	Florence, KY\|Fort Mitchell, KY	Current employment
M••• C•••••• M••••••••• L••	n/a	Mar 25, 2015	Jun 21, 2016	no	CINCINNATI, OH

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M••• C•••••• M••••••••• L••	A••••••••• F•••••••• S•••••••• L••	Jun 21, 2016	Jun 27, 2016	6	Firm change	Other

Relationships

Registered with (2)

→ A••••••••• F•••••••• S•••••••• L••Registered adviserregistration: current employment
Jun 27, 2016 to presentfactForm ADV
→ M••• C•••••• M••••••••• L••Registered adviserregistration: previous registration
Mar 25, 2015 to Jun 21, 2016factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:6441518c-0fd5-f52a-26e9-bd21595bb5f5
First observed: Mar 25, 2015
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.