DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)24 years in industry

B•••• K•••• S••••••

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

••• Locked

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Search this name across graphsid dfx:ria:b40d6aa0-aff0-2c20-a741-27c070011cd4

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 9:20 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Jul 27, 2006 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: Jan 31, 2002earliest registration or exam on IAPD
Years in industry: 24derivedfrom the industry start date
Years at current firm: 8derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
A••••••••• F•••••••• S•••••••• L••	National bd RIA	Jun 21, 2018	n/a	yes	San Antonio, TX\|Zionsville, IN\|Arvada, CO\|Mount Lebanon, PA\|Bloomington, MN\|Elm Grove, WI\|Chicago, IL\|Grafton, OH\|Sturgis, MI\|Excelsior, MN\|Ypsilanti, MI\|Shorewood, IL\|Pittsburgh, PA\|Medina, OH\|Jefferson Hills, PA\|Toledo, OH\|Columbus, OH\|New Brighton, PA\|Dublin, OH\|Grand Rapids, MI\|Canal Fulton, OH\|Huntington, WV\|Raleigh, NC\|Brighton, MI\|Gahanna, OH\|Bowling Green, OH\|Southgate, MI\|Cuyahoga Falls, OH\|Burlington, KY\|Delaware, OH\|Parma, OH\|Canton, OH\|Springfield, OH\|Chagrin Falls, OH\|Auburn, MI\|Monroeville, PA\|Huntingron, WV\|Toledo, OH\|Dublin, OH\|Norton Shores, MI\|Norridge, IL\|Mount Prospect, IL\|North Canton, OH\|Gaylord, MI\|Richfield, MN\|Ann Arbor, MI\|Sewickley, PA\|Byron Center, MI\|Grand Rapids, MI\|Mchenry, IL\|Cleveland, OH\|Mayfield Heights, OH\|Petoskey, MI\|Blue Ash, OH\|Charleston, SC\|Columbus, OH\|Bethel Park, PA\|Cranberry Township, PA\|Brighton, MI\|Waterford, MI\|Oak Lawn, IL\|Minnetonka, MN\|Weirton, WV\|Saint Anthony, MN\|Strongsville, OH\|Ludington, MI\|Grand Blanc, MI\|Stow, OH\|West Bloomfield, MI\|Massillon, OH\|Lima, OH\|Ottawa, OH\|Saint Johns, MI\|Beaver, PA\|New Albany, OH\|Powell, OH\|Plymouth, MN\|Cincinnati, OH\|Columbus, OH\|Ashland, OH\|Rockford, MI\|Cincinnati, OH\|Birmingham, MI\|Wood Dale, IL\|Northfield, OH\|Chardon, OH\|Clarksburg, WV\|Tecumseh, MI\|Burton, MI\|Maineville, OH\|Ravenna, OH\|Holland, MI\|Zionsville, IN\|Holland, OH\|Elyria, OH\|Barberton, OH\|Traverse City, MI\|Canton, OH\|Weston Salem, NC\|Solon, OH\|Cincinnati, OH\|Grand Haven, MI\|Hamilton, MI\|Fremont, MI\|Westlake, OH\|Youngstown, OH\|Jefferson, OH\|Ashtabula, OH\|Twinsburg, OH\|Weston, WV\|Fostoria, OH\|Algonquin, IL\|Wadsworth, OH\|Springboro, OH\|Clinton Township, MI\|Columbus, OH\|Salem, OH\|Lancaster, OH\|Columbus, OH\|Maple Grove, MN\|Huntington, WV\|South Lyon, MI\|Mount Vernon, OH\|Melrose Park, IL\|Troy, MI\|Bellbrook, OH\|Fraser, MI\|Green, OH\|Fairlawn, OH\|Greenwood, IN\|Newark, OH\|Chicago, IL\|New Lenox, IL\|Greenville, SC\|Erie, PA\|Indianapolis, IN\|East Liverpool, OH\|New Castle, PA\|Wintersville, OH\|Holland, MI\|Carmel, IN\|Saginaw, MI\|Monroe, MI\|Danville, IN\|Noblesville, IN\|Toledo, OH\|Circleville, OH\|Northwood, OH\|Zeeland, MI\|Columbus, OH\|Chagrin Falls, OH\|Columbus, OH\|Marshall, MI\|Oregon, OH\|Avon, IN\|Chicago, IL\|Charlotte, NC\|Blaine, MN\|Powell, OH\|Shelby Township, MI\|Chesterfield, MI\|Florence, KY\|Defiance, OH\|Owosso, MI\|Fort Mitchell, KY\|Mentor, OH\|Clinton Township, MI\|Cleveland, OH\|Beachwood, OH\|Okemos, MI\|Grand Rapids, MI\|Chicago, IL\|Denver, CO\|West Milton, OH\|Eden Prairie, MN\|Grand Rapids, MI\|West Chester Township, OH\|St Clairsville, OH\|Port Clinton, OH\|Amherst, OH\|Cleveland, OH\|Eagan, MN\|Grove City, OH\|Northville, MI\|Canton, OH\|Pataskala, OH\|Lakewood, OH\|Indianapolis, IN\|Warren, MI\|Lansing, MI\|Streetsboro, OH\|Ann Arbor, MI\|Muskegon, MI\|Wadsworth, OH\|Maumee, OH\|Petoskey, MI\|Niles, MI\|Akron, OH\|Zanesville, OH\|Oak Park Heights, MN\|Dover, OH\|Kalamazoo, MI\|Medina, OH\|Morgantown, WV\|Elyria, OH\|Auburn Hills, MI\|Mason, OH\|Loveland, OH\|Rochester Hills, MI\|Saint Clair, MI\|Ft. Mitchell, KY\|Charleston, WV\|Mount Prospect, IL\|Mansfield, OH\|Bay City, MI\|Cincinnati, OH\|Chicago, IL\|Hermitage, PA\|Columbus, OH\|Hilliard, OH\|Greenwood, IN\|Perrysburg, OH\|Grove City, OH\|Willoughby, OH\|Warren, OH\|Midland, MI\|Pickerington, OH\|Worthington, OH\|Massillon, OH\|Brunswick, OH\|Naperville, IL\|Shelby Township, MI\|Broomfield, CO\|Adrian, MI\|Park Ridge, IL\|Cincinnati, OH\|Findlay, OH\|Huron, OH\|New Middletwn, OH\|Franklin, OH\|Grosse Pointe Woods, MI\|New Baltimore, MI\|Midland, MI\|Columbus, OH\|Columbus, OH\|Novi, MI\|Brookville, OH\|Glenview, IL\|Marysville, OH\|Rocky River, OH\|Pittsburgh, PA\|Pittsburgh, PA\|Fishers, IN\|Medina, OH\|Dublin, OH\|Washington, MI\|Lakewood, CO\|Youngstown, OH\|Westerville, OH\|Edgewood, KY\|Kent, OH\|North Canton, OH\|Warren, OH\|Battle Creek, MI\|Zionsville, IN\|Columbus, OH\|Lebanon, IN\|Holland, MI\|Jenison, MI\|Royal Oak, MI\|Cadiz, OH\|Columbus, OH\|St Joseph, MI\|Livonia, MI\|Akron, OH\|Greenwood, IN\|Meadowlakes, TX

Moves

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From	To	Left	Joined	Gap, days	Kind	Move type
I••••••••• P••••••••• I•••	C••••• I••••••••• S••••••• L••	Oct 8, 2018	May 30, 2007	-4,149	Firm change after gap	Other
C••••• I••••••••• S••••••• L••	A••••••••• F•••••••• S•••••••• L••	Jul 25, 2007	Jun 21, 2018

Relationships

Registered with (4)

→ A••••••••• F•••••••• S•••••••• L••Registered adviserregistration: current employment
Jun 21, 2018 to presentfactForm ADV
→ I••••••••• P••••••••• I•••Registered adviserregistration: previous registration
May 25, 2007 to Oct 8, 2018factForm ADV
→ C••••• I••••••••• S••••••• L••Registered adviserregistration: previous registration
Jun 11, 2007 to Jul 25, 2007factForm ADV
→ D•• I••••••• S•••••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b40d6aa0-aff0-2c20-a741-27c070011cd4
First observed: Jul 27, 2006
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.