DFX Intelligence

L•••••• W•••••• M•••••••: advisor on the ria / wealth management graph | DFX Data Factory

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

L•••••• W•••••• M•••••••

Advisor at W•••••• B•••• • C•••••• L•••••

••• Locked

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Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 11:43 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Aug 16, 1999 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•••••• B•••• • C•••••• L•••••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Dec 6, 1991earliest 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: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
W•••••• B•••• • C•••••• L•••••	Bd affiliated wealth	May 22, 2026	n/a	yes	CHICAGO, IL\|POWELL, OH\|New Albany, OH\|CHICAGO, IL	Current employment
S•••••• N••••••• • C••••••• I•••••••••	National bd RIA	Sep 28, 2009	Jun 9, 2026	no	DUBLIN, OH

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
S•••••• N••••••• • C••••••• I•••••••••	W•••••• B•••• • C•••••• L•••••	Jun 9, 2026	May 22, 2026	-18	Firm change	Ibd to ibd
M••••• S••••••	S•••••• N••••••• • C••••••• I•••••••••	Oct 8, 2009	Sep 28, 2009

Team moves

••• Locked

Team	Left	Joined	From	Kind
793:1252:OH:2026-06-09	Jun 9, 2026	May 22, 2026	DUBLIN, OH	Firm change

Relationships

Registered with (6)

→ W•••••• B•••• • C•••••• L•••••Registered adviserregistration: current employment
May 22, 2026 to presentfactForm ADV
→ S•••••• N••••••• • C••••••• I•••••••••Registered adviserregistration: previous registration
Sep 28, 2009 to Jun 9, 2026factForm ADV
→ M••••• S••••••Registered adviserregistration: previous registration
Jun 1, 2009 to Oct 8, 2009factForm ADV
→ C•••••••• G••••• M•••••• I•••

Dated events

Order

Occurred
9 Jun 2026
Advisor changed firm
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Aug 16, 1999
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.