DFX Intelligence

K••••••• S• P•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)18 years in industry

K••••••• S• P•••••

Advisor at A••••••••• F•••••••• S•••••••• L••

Newton Falls, OH | Hilliard, OH

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Search this name across graphsid dfx:ria:a0ac8339-74d7-9811-3ba8-a421adf02bb9

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 3:11 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Apr 10, 2008 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: A••••••••• F•••••••• S•••••••• L••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Apr 7, 2008earliest registration or exam on IAPD
Years in industry: 18derivedfrom the industry start date
Years at current firm: 8derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
A••••••••• F•••••••• S•••••••• L••	National bd RIA	Jun 22, 2018	n/a	yes	Newton Falls, OH\|Hilliard, OH\|Newton Falls, OH	Current employment
I••••••••• P••••••••• I•••	Former SEC adviser	May 8, 2013	Sep 25, 2018	no	WARREN, OH\|SAN ANTONIO, TX\|Lorain, OH\|Newton Falls, OH\|Newton Falls, OH\|SAN ANTONIO, TX\|Danville, KY

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
I••••••••• P••••••••• I•••	A••••••••• F•••••••• S•••••••• L••	Sep 25, 2018	Jun 22, 2018	-95	Bulk transfer	Ibd to ibd
J••• M••••• S••••••••• L••	I••••••••• P••••••••• I•••	May 7, 2013	May 8, 2013

Relationships

Registered with (4)

→ A••••••••• F•••••••• S•••••••• L••Registered adviserregistration: current employment
Jun 22, 2018 to presentfactForm ADV
→ I••••••••• P••••••••• I•••Registered adviserregistration: previous registration
May 8, 2013 to Sep 25, 2018factForm ADV
→ J••• M••••• S••••••••• L••Registered adviserregistration: previous registration
Oct 1, 2012 to May 7, 2013factForm ADV
→ C•••• I••••••••• S••••••• C••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:a0ac8339-74d7-9811-3ba8-a421adf02bb9
First observed: Apr 10, 2008
Last observed: Sep 15, 2026 7 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.