DFX Intelligence

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

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)12 years in industry

C•••••••• S••••••

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

••• Locked

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 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 6:19 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Jan 11, 2018 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: Sep 1, 2014earliest registration or exam on IAPD
Years in industry: 12derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
A••••••••• F•••••••• S•••••••• L••	National bd RIA	May 17, 2023	n/a	yes	Ottawa, OH\|Miamisburg, OH\|RICHMOND, IN\|Troy, OH	Current employment
J••• M••••• S••••••••• L••	Wirehouse	Aug 17, 2020	May 6, 2023	no	GREENVILLE, OH\|PIQUA, OH\|FAIRBORN, OH\|XENIA, OH\|HUBER HEIGHTS, OH\|DAYTON, OH\|HUBER HEIGHTS, OH

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
J••• M••••• S••••••••• L••	A••••••••• F•••••••• S•••••••• L••	May 6, 2023	May 17, 2023	11	Firm change	Wirehouse to ibd
A••••••••• F•••••••• S•••••••• L••	J••• M••••• S••••••••• L••	Aug 4, 2020	Aug 17, 2020

Relationships

Registered with (2)

→ A••••••••• F•••••••• S•••••••• L••Registered adviserregistration: previous registration
Jan 11, 2018 to Aug 4, 2020factForm ADV
→ J••• M••••• S••••••••• L••Registered adviserregistration: previous registration
Aug 17, 2020 to May 6, 2023factForm ADV

Dated events

Order

Occurred
6 May 2023
Advisor changed firm
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Jan 11, 2018
Last observed: Sep 15, 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.