DFX Intelligence

H••••• L••••• W•••••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)42 years in industry

H••••• L••••• W•••••••••

Advisor at S••••• A••••••• I•••

BIRMINGHAM, AL | Louisville, KY

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Search this name across graphsid dfx:ria:b5dd0f9e-6a4c-c5e1-70c4-1af24d0ff193

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 11:12 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Dec 22, 1998 to Sep 14, 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 28, 1984earliest registration or exam on IAPD
Years in industry: 42derivedfrom the industry start date
Years at current firm: 10derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S••••• A••••••• I•••	Bd affiliated wealth	Jun 30, 2016	n/a	yes	Louisville, KY\|BIRMINGHAM, AL	Current employment
S••••• A••• A•••• M••••••••• I•••	Former SEC adviser	Mar 11, 2005	Jun 30, 2016	no	BIRMINGHAM, AL

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
S••••• A••• A•••• M••••••••• I•••	S••••• A••••••• I•••	Jun 30, 2016	Jun 30, 2016	0	Bulk transfer	Other
U•• F•••••••• S••••••• I•••	S••••• A••• A•••• M••••••••• I•••	Apr 14, 2003	Mar 11, 2005

Relationships

Registered with (3)

→ S••••• A••••••• I•••Registered adviserregistration: current employment
Jun 30, 2016 to presentfactForm ADV
→ S••••• A••• A•••• M••••••••• I•••Registered adviserregistration: previous registration
Mar 11, 2005 to Jun 30, 2016factForm ADV
→ U•• F•••••••• S••••••• I•••Registered adviserregistration: previous registration
Dec 22, 1998 to Apr 14, 2003factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b5dd0f9e-6a4c-c5e1-70c4-1af24d0ff193
First observed: Dec 22, 1998
Last observed: Sep 14, 2026 9 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.