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

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RIA / WealthAdvisordual registered (broker-dealer)33 years in industry

C•••• L•• S•••

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

LOVELAND, OH | Cincinnati, OH

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Search this name across graphsid dfx:ria:848067a4-1d4e-624b-5a02-f987dacea6e6

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:09 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Nov 29, 2004 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: A••••••••• F•••••••• S•••••••• L••
Current firm class: national broker-dealer RIAderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Sep 1, 1993earliest registration or exam on IAPD
Years in industry: 33derivedfrom the industry start date
Years at current firm: 16derivedfrom 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
A••••••••• F•••••••• S•••••••• L••	National bd RIA	Oct 5, 2009	n/a	yes	Cincinnati, OH\|LOVELAND, OH	Current employment
A••••••••• A•••••• S•••••••• I•••	n/a	Jul 13, 2006	Oct 5, 2009	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
A••••••••• A•••••• S•••••••• I•••	A••••••••• F•••••••• S•••••••• L••	Oct 5, 2009	Oct 5, 2009	0	Bulk transfer	Other
S••••••• I••••••••• I•••	A••••••••• A•••••• S•••••••• I•••	Jul 12, 2006

Relationships

Registered with (3)

→ A••••••••• F•••••••• S•••••••• L••Registered adviserregistration: current employment
Oct 5, 2009 to presentfactForm ADV
→ A••••••••• A•••••• S•••••••• I•••Registered adviserregistration: previous registration
Jul 13, 2006 to Oct 5, 2009factForm ADV
→ S••••••• I••••••••• I•••Registered adviserregistration: previous registration
Nov 29, 2004 to Jul 12, 2006factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:848067a4-1d4e-624b-5a02-f987dacea6e6
First observed: Nov 29, 2004
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.