DFX Intelligence

R•••••• K•••• B••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)31 years in industry

R•••••• K•••• B••••

Advisor at S••••• A••••••• I•••

BIRMINGHAM, AL | NILES, OH

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Search this name across graphsid dfx:ria:a6f49e1c-c234-1f92-15b7-bab85c529a40

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:12 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Jan 9, 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••••• A••••••• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Jun 1, 1995earliest registration or exam on IAPD
Years in industry: 31derivedfrom the industry start date
Years at current firm: 11derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S••••• A••••••• I•••	Bd affiliated wealth	Jan 30, 2015	n/a	yes	BIRMINGHAM, AL\|NILES, OH	Current employment
S••••• A••• I••••••••• A•••••• S•••••••• I•••	Former SEC adviser	Jan 9, 2001	Jan 30, 2015	no	WARREN, OH\|YOUNGSTOWN, OH\|YOUNGSTOWN, OH

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
S••••• A••• I••••••••• A•••••• S•••••••• I•••	S••••• A••••••• I•••	Jan 30, 2015	Jan 30, 2015	0	Bulk transfer	Other

Relationships

Registered with (2)

→ S••••• A••••••• I•••Registered adviserregistration: current employment
Jan 30, 2015 to presentfactForm ADV
→ S••••• A••• I••••••••• A•••••• S•••••••• I•••Registered adviserregistration: previous registration
Jan 9, 2001 to Jan 30, 2015factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:a6f49e1c-c234-1f92-15b7-bab85c529a40
First observed: Jan 9, 2001
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.