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

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RIA / WealthAdvisordual registered (broker-dealer)36 years in industry

A••••• E••••• R•••••

Advisor at S•••••••• A•••••••• L••

Louisville, KY

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Search this name across graphsid dfx:ria:8c749fc5-0935-2599-be62-6cbe7c8324c8

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:38 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Nov 18, 1998 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•••••••• A•••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Aug 27, 1990earliest registration or exam on IAPD
Years in industry: 36derivedfrom the industry start date
Years at current firm: 1derivedfrom 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
S•••••••• A•••••••• L••	Bd affiliated wealth	Jul 22, 2025	n/a	yes	Louisville, KY	Current employment
M••••• S••••••	Wirehouse	Apr 12, 2019	Jun 12, 2025	no	Milwaukee, WI\|Louisville, KY\|Louisville, KY

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
M••••• S••••••	S•••••••• A•••••••• L••	Jun 12, 2025	Jul 22, 2025	40	Firm change	Wirehouse to ibd
J••••• H•••••••• W••• L••••• L••	M••••• S••••••	Apr 8, 2019

Relationships

Registered with (5)

→ S•••••••• A•••••••• L••Registered adviserregistration: current employment
Jul 22, 2025 to presentfactForm ADV
→ M••••• S••••••Registered adviserregistration: previous registration
Apr 12, 2019 to Jun 12, 2025factForm ADV
→ J••••• H•••••••• W••• L••••• L••Registered adviserregistration: previous registration
May 21, 2018 to Apr 8, 2019factForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••

Dated events

Occurred
Jun 12, 2025
Advisor changed firm
A••••• E••••• R••••• left M••••• S•••••• for S•••••••• A•••••••• L•• (registered 2025-07-22)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:8c749fc5-0935-2599-be62-6cbe7c8324c8
First observed: Nov 18, 1998
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.