DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)11 years in industry

S•••• R••• L••••

Advisor at O•••• A••••••• S•••••••• L••

MAYFIELD HTS, OH

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Search this name across graphsid dfx:ria:d0e40a5c-1958-f126-c818-84ccdeae3b3c

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 3:13 PM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 3
On other graphs: 0
Observed: Apr 7, 2016 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: O•••• A••••••• S•••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Feb 1, 2015earliest registration or exam on IAPD
Years in industry: 11derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 6

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
O•••• A••••••• S•••••••• L••	Bd affiliated wealth	Nov 8, 2024	n/a	yes	MAYFIELD HTS, OH	Current employment
O•••• W•••••• I•••	Bd affiliated wealth	Jun 14, 2024	n/a	yes	MAYFIELD HTS, OH	Current employment

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
A•••• P•••• A•••••••	O•••• W•••••• I•••	Nov 8, 2024	Jun 14, 2024	-147	Channel change	Ibd to ibd
S••••••••• A•••••• A•••••••• I•••	A•••• P•••• A•••••••	Jun 14, 2024	Sep 18, 2023

Team moves

••• Locked

Team	Left	Joined	From	Kind
165127:23131:OH:2024-11-08	Nov 8, 2024	Jun 14, 2024	MAYFIELD HTS, OH	Firm change after gap
110518:165127:OH:2024-06-14	Jun 14, 2024	Sep 18, 2023	MAYFIELD HTS, OH	Firm change after gap

Relationships

Registered with (8)

→ O•••• A••••••• S•••••••• L••Registered adviserregistration: current employment
Nov 8, 2024 to presentfactForm ADV
→ O•••• W•••••• I•••Registered adviserregistration: current employment
Jun 14, 2024 to presentfactForm ADV
→ A•••• P•••• A•••••••Registered adviserregistration: previous registration
Sep 18, 2023 to Nov 8, 2024factForm ADV
→ S••••••••• A•••••• A•••••••• I•••

Dated events

Occurred
Aug 9, 2023
A•••••• firm change
S•••• R••• L•••• left V•••••• F•••••••• G••••• I••• for C••••• I••••••••• A••••••• L•• (registered 2023-06-29)
Form ADVobserved 7 days ago
Occurred
Jul 25, 2023
A•••••• firm change
S•••• R••• L•••• left C••••• I••••••••• A••••••• L•• for S••••••••• A•••••• A•••••••• I••• (registered 2023-09-18)
Form ADVobserved 7 days ago
Occurred
Jun 29, 2023
A•••••• firm change
S•••• R••• L•••• left C••••• A•••••• N••••••• L•• for V•••••• F•••••••• G••••• I••• (registered 2018-08-17)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:d0e40a5c-1958-f126-c818-84ccdeae3b3c
First observed: Apr 7, 2016
Last observed: Sep 14, 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.