A•• T••••••••

Advisor at S•••••• N••••••• • C••••••• I•••••••••

LOUISVILLE, KY | Baltimore, MD

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:8e5036c9-4370-6867-a99e-1c410006ec18

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:48 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Apr 6, 2001 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•••••• N••••••• • C••••••• I•••••••••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Jan 27, 2000earliest registration or exam on IAPD
Years in industry: 26derivedfrom the industry start date
Years at current firm: 14derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S•••••• N••••••• • C••••••• I•••••••••	National bd RIA	Sep 17, 2012	n/a	yes	LOUISVILLE, KY\|Baltimore, MD	Current employment
M••••• S•••••• D• I•••	n/a	Apr 6, 2001	Apr 1, 2003	no	LOUISVILLE, KY

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M••••• S•••••• D• I•••	S•••••• N••••••• • C••••••• I•••••••••	Apr 1, 2003	Sep 17, 2012	3,457	Firm change after gap	Other

Relationships

Registered with (2)

→ S•••••• N••••••• • C••••••• I•••••••••Registered adviserregistration: current employment
Sep 17, 2012 to presentfactForm ADV
→ M••••• S•••••• D• I•••Registered adviserregistration: previous registration
Apr 6, 2001 to Apr 1, 2003factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:8e5036c9-4370-6867-a99e-1c410006ec18
First observed: Apr 6, 2001
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.