DFX Intelligence

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

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RIA / WealthAdvisorChartered Financial Consultantdual registered (broker-dealer)35 years in industry

T•••••• R••••• C••••

Advisor at C•••• C••••••

TOLEDO, OH

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Search this name across graphsid dfx:ria:9c649c3b-3916-54d2-1b6f-68400e09b238

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 2:10 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Jul 15, 2002 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: C•••• C••••••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Oct 29, 1990earliest registration or exam on IAPD
Years in industry: 35derivedfrom the industry start date
Years at current firm: 8derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C•••• C••••••	Independent wealth	Jul 25, 2018	n/a	yes	TOLEDO, OH	Current employment
A••••••• A••••••• S•••••••	Former SEC adviser	May 31, 2005	Oct 1, 2018	no	PERRYSBURG, OH\|PERRYSBURG, OH\|LINCOLN, NE\|LINCOLN, NE\|Toledo, OH

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
A••••••• A••••••• S•••••••	C•••• C••••••	Oct 1, 2018	Jul 25, 2018	-68	Firm change after gap	Ibd to RIA
N•• E•••••• S••••••••• C•••••••••	A••••••• A••••••• S•••••••	Feb 18, 2005	May 31, 2005

Relationships

Registered with (3)

→ C•••• C••••••Registered adviserregistration: current employment
Jul 25, 2018 to presentfactForm ADV
→ A••••••• A••••••• S•••••••Registered adviserregistration: previous registration
May 31, 2005 to Oct 1, 2018factForm ADV
→ N•• E•••••• S••••••••• C•••••••••Registered adviserregistration: previous registration
Jul 15, 2002 to Feb 18, 2005factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:9c649c3b-3916-54d2-1b6f-68400e09b238
First observed: Jul 15, 2002
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.