S•••• L• D••••

Advisor at U••••• A•••••• G••••

CINCINNATI, OH | Springfield, MO

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 graphs

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 10:04 PM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 1
On other graphs: 0
Observed: Nov 26, 2003 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: U••••• A•••••• G••••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Jul 30, 2001earliest registration or exam on IAPD
Years in industry: 25derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 8

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
U••••• A•••••• G••••	Independent wealth	Mar 3, 2023	n/a	yes	CINCINNATI, OH\|Springfield, MO	Current employment
O• I••••••••• M••••••••• C•	Bd affiliated wealth	Apr 23, 2018	Mar 1, 2023	no	Springfield, MO

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
O• I••••••••• M••••••••• C•	U••••• A•••••• G••••	Mar 1, 2023	Mar 3, 2023	2	Firm change	Ibd to new firm
Q•••••• A•••• M••••••••• I•••	O• I••••••••• M••••••••• C•	May 1, 2018	Apr 23, 2018

Team moves

••• Locked

Team	Left	Joined	From	Kind
105662:324205:MO:2023-02-16	Mar 1, 2023	Mar 3, 2023	SPRINGFIELD, MO	Firm change

Relationships

Registered with (8)

→ U••••• A•••••• G••••Registered adviserregistration: current employment
Mar 3, 2023 to presentfactForm ADV
→ O• I••••••••• M••••••••• C•Registered adviserregistration: previous registration
Apr 23, 2018 to Mar 1, 2023factForm ADV
→ Q•••••• A•••• M••••••••• I•••Registered adviserregistration: previous registration
Jan 21, 2014 to May 1, 2018factForm ADV
→ W••••••• F•••••••• S•••••••• I•••

Dated events

Order

Occurred
1 Mar 2023
Advisor changed firm
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Nov 26, 2003
Last observed: Sep 14, 2026 9 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.