DFX Intelligence

W•••••• A•••••• R•••••: 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 / WealthAdvisordual registered (broker-dealer)25 years in industry

W•••••• A•••••• R•••••

Advisor at W••••••• S••••••••• I•••

Newport, KY

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 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 5:22 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 2
On other graphs: 0
Observed: Oct 19, 2023 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: W••••••• S••••••••• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Mar 19, 2001earliest registration or exam on IAPD
Years in industry: 25derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
W••••••• S••••••••• I•••	Bd affiliated wealth	Jul 31, 2026	n/a	yes	Newport, KY	Current employment
A••••••••• F•••••••• S•••••••• L••	National bd RIA	Jul 2, 2026	Jul 16, 2026	no	Edgewood, KY	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
H••••••••• F•••••••• A•••••••	A••••••••• F•••••••• S•••••••• L••	Jul 17, 2026	Jul 2, 2026	-15	Firm change	Ibd to ibd
A••••••••• F•••••••• S•••••••• L••	W••••••• S••••••••• I•••	Jul 16, 2026	Jul 31, 2026

Relationships

Registered with (3)

→ W••••••• S••••••••• I•••Registered adviserregistration: current employment
Jul 31, 2026 to presentfactForm ADV
→ H••••••••• F•••••••• A•••••••Registered adviserregistration: previous registration
Oct 19, 2023 to Jul 17, 2026factForm ADV
→ A••••••••• F•••••••• S•••••••• L••Registered adviserregistration: previous registration
Jul 2, 2026 to Jul 16, 2026factForm ADV

Dated events

Occurred
Jul 17, 2026
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Jul 16, 2026
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Oct 19, 2023
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.