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S••• T•••• B••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)14 years in industry

S••• T•••• B••••

Advisor at S••••• O•• S••••••••• I•••

Louiisville, KY

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Search this name across graphsid dfx:ria:d633435f-200f-6ec3-8fef-492f40c7663c

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:58 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Sep 11, 2015 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••••• O•• S••••••••• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jul 1, 2012earliest registration or exam on IAPD
Years in industry: 14derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
S••••• O•• S••••••••• I•••	Bd affiliated wealth	Sep 25, 2018	n/a	yes	Louiisville, KY	Current employment
S•• A•••••••• I•••	Former SEC adviser	Sep 11, 2015	Sep 23, 2018	no

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
S•• A•••••••• I•••	S••••• O•• S••••••••• I•••	Sep 23, 2018	Sep 25, 2018	2	Firm change	Ibd to RIA

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
126090:46947:KY:2018-09-23	Sep 23, 2018	Sep 25, 2018	LOUISVILLE, KY	Firm change

Relationships

Registered with (2)

→ S••••• O•• S••••••••• I•••Registered adviserregistration: current employment
Sep 25, 2018 to presentfactForm ADV
→ S•• A•••••••• I•••Registered adviserregistration: previous registration
Sep 11, 2015 to Sep 23, 2018factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:d633435f-200f-6ec3-8fef-492f40c7663c
First observed: Sep 11, 2015
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.