DFX Intelligence

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

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

C•••••• F•••••••• N•••

Advisor at P•••••• C••••• S•••••••• L••

JEFFERSONVILLE, IN | LOUISVILLE, KY

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Search this name across graphsid dfx:ria:b4749209-5032-1f7b-6dd6-5d6133b82cd1

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:47 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Jan 8, 2004 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: P•••••• C••••• S•••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Sep 25, 2001earliest registration or exam on IAPD
Years in industry: 24derivedfrom the industry start date
Years at current firm: 16derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
P•••••• C••••• S•••••••• L••	Bd affiliated wealth	Jan 4, 2010	n/a	yes	JEFFERSONVILLE, IN\|LOUISVILLE, KY	Current employment
W••••••• F•••••••• S•••••••• I•••	Former SEC adviser	Jan 14, 2005	Dec 31, 2009	no	JEFFERSONVILLE, IN\|LOUISVILLE, KY\|JEFFERSONVILLE, IN\|LOUISVILLE, KY

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
W••••••• F•••••••• S•••••••• I•••	P•••••• C••••• S•••••••• L••	Dec 31, 2009	Jan 4, 2010	4	Firm change	Other
U•• F•••••••• S••••••• I•••	W••••••• F•••••••• S•••••••• I•••	Feb 8, 2005	Jan 14, 2005

Relationships

Registered with (3)

→ P•••••• C••••• S•••••••• L••Registered adviserregistration: current employment
Jan 4, 2010 to presentfactForm ADV
→ W••••••• F•••••••• S•••••••• I•••Registered adviserregistration: previous registration
Jan 14, 2005 to Dec 31, 2009factForm ADV
→ U•• F•••••••• S••••••• I•••Registered adviserregistration: previous registration
Jan 8, 2004 to Feb 8, 2005factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b4749209-5032-1f7b-6dd6-5d6133b82cd1
First observed: Jan 8, 2004
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.