DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)28 years in industry

S••••• R•••• L••••••

Advisor at L••••••• S••••••••• C••••

ROCHESTER, NY | Hermann, MO

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Search this name across graphsid dfx:ria:d3b7a318-6c99-0dcc-bcf8-7031752f33d5

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 2:57 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Jul 18, 2005 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: L••••••• S••••••••• C••••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Jan 8, 1998earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
L••••••• S••••••••• C••••	Bd affiliated wealth	Oct 17, 2018	n/a	yes	Hermann, MO\|ROCHESTER, NY	Current employment
F•••••••• E••••• S•••••••• I•••	Former SEC adviser	Jun 29, 2012	Oct 17, 2018	no	HERMAN, MO\|SAN DIEGO, CA\|LIVONIA, MI

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
F•••••••• E••••• S•••••••• I•••	L••••••• S••••••••• C••••	Oct 17, 2018	Oct 17, 2018	0	Firm change	Ibd to RIA
I••••••••• F•••••••• A•••••••	F•••••••• E••••• S•••••••• I•••	May 2, 2012	Jun 29, 2012

Relationships

Registered with (6)

→ L••••••• S••••••••• C••••Registered adviserregistration: current employment
Oct 17, 2018 to presentfactForm ADV
→ F•••••••• E••••• S•••••••• I•••Registered adviserregistration: previous registration
Jun 29, 2012 to Oct 17, 2018factForm ADV
→ I••••••••• F•••••••• A•••••••Registered adviserregistration: previous registration
May 11, 2011 to May 2, 2012factForm ADV
→ C•••••••• F••••••••• I•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:d3b7a318-6c99-0dcc-bcf8-7031752f33d5
First observed: Jul 18, 2005
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.