DFX Intelligence

N••• A••• K••••••: advisor on the ria / wealth management graph | DFX Data Factory

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

N••• A••• K••••••

Advisor at S••••• F••••••••• L••

CINCINNATI, OH

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Search this name across graphsid dfx:ria:95ea3efe-52a3-ede1-aa18-f58da473b1e5

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 6:34 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Jul 23, 2009 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••••• F••••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Aug 14, 2006earliest registration or exam on IAPD
Years in industry: 20derivedfrom 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
S••••• F••••••••• L••	Bd affiliated wealth	Mar 9, 2026	n/a	yes	CINCINNATI, OH	Current employment
W•••• F•••• A•••••••	Wirehouse	Jun 21, 2019	Mar 10, 2026	no	CINCINNATI, OH\|Morrow, OH\|Maineville, OH	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
W•••• F•••• A•••••••	S••••• F••••••••• L••	Mar 10, 2026	Mar 9, 2026	-1	Firm change	Wirehouse to ibd
J••• M••••• S••••••••• L••	W•••• F•••• A•••••••	Jul 3, 2019	Jun 21, 2019

Team moves

••• Locked

Team	Left	Joined	From	Kind
19616:299322:OH:2026-03-10	Mar 10, 2026	Mar 9, 2026	MAINEVILLE, OH	Firm change

Relationships

Registered with (6)

→ S••••• F••••••••• L••Registered adviserregistration: current employment
Mar 9, 2026 to presentfactForm ADV
→ W•••• F•••• A•••••••Registered adviserregistration: previous registration
Jun 21, 2019 to Mar 10, 2026factForm ADV
→ J••• M••••• S••••••••• L••Registered adviserregistration: previous registration
Oct 1, 2012 to Jul 3, 2019factForm ADV
→ C•••• I••••••••• S••••••• C••••

Dated events

Occurred
Mar 10, 2026
Advisor changed firm
N••• A••• K•••••• left W•••• F•••• A••••••• for S••••• F••••••••• L•• (registered 2026-03-09)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:95ea3efe-52a3-ede1-aa18-f58da473b1e5
First observed: Jul 23, 2009
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.