DFX Intelligence

D•••• A••• R•••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)29 years in industry

D•••• A••• R•••••••

Advisor at W••••••• S••••••••• I•••

••• Locked

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Search this name across graphsid dfx:ria:67b58909-5416-b763-ced4-25b7507f4618

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:47 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 0
On other graphs: 0
Observed: Aug 4, 2003 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: W••••••• S••••••••• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Mar 13, 1997earliest registration or exam on IAPD
Years in industry: 29derivedfrom the industry start date
Years at current firm: 9derivedfrom the current registration's begin date
Prior firms: 6

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
W••••••• S••••••••• I•••	Bd affiliated wealth	Jul 24, 2017	n/a	yes	Newport, KY\|Sheperdsville, KY\|WHEELING, WV\|Frankfort, KY\|Elizabethtown, KY	Current employment
B••• I••••••••• S•••••••• I•••	Former SEC adviser	Nov 10, 2005	Jul 18, 2017	no	CHARLOTTE, NC\|LOUISVILLE, KY\|LOUISVILLE, KY\|LOUISVILLE, KY\|LOUISVILLE, KY\|LOUISVILLE, KY\|LOUISVILLE, KY\|LOUISVILLE, KY\|LOUISVILLE, KY\|CHARLOTTE, NC\|LOUISVILLE, KY\|LOUISVILLE, KY\|LOUISVILLE, KY\|LOUISVILLE, KY\|LOUISVILLE, KY\|LOUISVILLE, KY\|HOMEWOOD, AL\|LOUISVILLE, KY\|LOUISVILLE, KY\|LOUISVILLE, KY\|LOUISVILLE, KY

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
B••• I••••••••• S•••••••• I•••	W••••••• S••••••••• I•••	Jul 18, 2017	Jul 24, 2017	6	Firm change	Other
P•• W••••• M•••••••••	B••• I••••••••• S•••••••• I•••	Nov 16, 2005	Nov 10, 2005

Relationships

Registered with (5)

→ W••••••• S••••••••• I•••Registered adviserregistration: current employment
Jul 24, 2017 to presentfactForm ADV
→ B••• I••••••••• S•••••••• I•••Registered adviserregistration: previous registration
Nov 10, 2005 to Jul 18, 2017factForm ADV
→ P•• W••••• M•••••••••Registered adviserregistration: previous registration
Jul 11, 2005 to Nov 16, 2005factForm ADV
→ Q•••• • R•••••• I•••Registered adviser

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:67b58909-5416-b763-ced4-25b7507f4618
First observed: Aug 4, 2003
Last observed: Sep 15, 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.