DFX Intelligence

R••••• C• B•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)20 years in industry

R••••• C• B•••••

Advisor at S•••••••• A••••••• L••

HEBRON, KY | COVINGTON, KY

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Search this name across graphs

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 6:32 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Jan 17, 2007 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: S•••••••• A••••••• L••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Jan 19, 2006earliest registration or exam on IAPD
Years in industry: 20derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S•••••••• A••••••• L••	National bd RIA	Mar 31, 2025	n/a	yes	HEBRON, KY\|COVINGTON, KY	Current employment
F••••••• P••••••• A•• W•••••••• A•••••••	Former SEC adviser	Jul 13, 2018	Mar 31, 2025	no	BOSTON, MA\|COVINGTON, KY

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
F••••••• P••••••• A•• W•••••••• A•••••••	S•••••••• A••••••• L••	Mar 31, 2025	Mar 31, 2025	0	Bulk transfer	Ibd to ibd
S•••••••• A••••••• L••	F••••••• P••••••• A•• W•••••••• A•••••••	Jul 13, 2018	Jul 13, 2018

Relationships

Registered with (4)

→ S•••••••• A••••••• L••Registered adviserregistration: previous registration
Aug 30, 2012 to Jul 13, 2018factForm ADV
→ F••••••• P••••••• A•• W•••••••• A•••••••Registered adviserregistration: previous registration
Jul 13, 2018 to Mar 31, 2025factForm ADV
→ C•••• I••••••••• S••••••• C••••Registered adviserregistration: previous registration
Feb 10, 2010 to Aug 6, 2012factForm ADV
→ E••••• J••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Jan 17, 2007
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.