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S••••• D•••••• O•••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Planner33 years in industry

S••••• D•••••• O•••••••

Advisor at A•••• W••••• M••••••••• L••

FT. MITCHELL, KY

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Search this name across graphsid dfx:ria:d89d5265-6ba2-4efd-9973-2cfb575c707e

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:19 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Jan 14, 2003 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: A•••• W••••• M••••••••• L••
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Aug 16, 1993earliest registration or exam on IAPD
Years in industry: 33derivedfrom the industry start date
Years at current firm: 16derivedfrom 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
A•••• W••••• M••••••••• L••	Independent wealth	May 12, 2010	n/a	yes	FT. MITCHELL, KY	Current employment
F••••••• P••••••• T•••• C••••••• F••	n/a	Aug 15, 2005	Jul 25, 2006	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••••••• L••	F••••••• P••••••• T•••• C••••••• F••	Apr 8, 2010	Aug 15, 2005	-1,697	Firm change after gap	Other
F••••••• P••••••• T•••• C••••••• F••	A•••• W••••• M••••••••• L••	Jul 25, 2006

Relationships

Registered with (3)

→ A•••• W••••• M••••••••• L••Registered adviserregistration: current employment
May 12, 2010 to presentfactForm ADV
→ S•••••••• A••••••• L••Registered adviserregistration: previous registration
Jan 14, 2003 to Apr 8, 2010factForm ADV
→ F••••••• P••••••• T•••• C••••••• F••Registered adviserregistration: previous registration
Aug 15, 2005 to Jul 25, 2006factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:d89d5265-6ba2-4efd-9973-2cfb575c707e
First observed: Jan 14, 2003
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.