DFX Intelligence

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

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

B•••• P•••••• S•••••••

Advisor at S•••••• F•••••••• A•••••••• L••

Cincinnati, OH

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Search this name across graphsid dfx:ria:e29f2485-0ba3-03a7-44fb-97e607d1d1f6

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 4:11 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Apr 29, 2009 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•••••• F•••••••• A•••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Feb 1, 1998earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 8derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S•••••• F•••••••• A•••••••• L••	Independent wealth	Jun 21, 2018	n/a	yes	Cincinnati, OH	Current employment
L•• F•••••••• L••	Bd affiliated wealth	Jan 11, 2013	Jun 6, 2018	no	CINCINNATI, OH\|CINCINNATI, OH\|SAN DIEGO, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
A•••••••• I••••••••• M••••••••• L••	L•• F•••••••• L••	Jun 11, 2018	Jan 11, 2013	-1,977	Firm change after gap	Other
L•• F•••••••• L••	S•••••• F•••••••• A•••••••• L••	Jun 6, 2018	Jun 21, 2018

Team moves

••• Locked

Team	Left	Joined	From	Kind
146236:6413:OH:2018-06-11	Jun 11, 2018	Jan 11, 2013	CINCINNATI, OH	Firm change after gap

Relationships

Registered with (3)

→ S•••••• F•••••••• A•••••••• L••Registered adviserregistration: current employment
Jun 21, 2018 to presentfactForm ADV
→ A•••••••• I••••••••• M••••••••• L••Registered adviserregistration: previous registration
Apr 29, 2009 to Jun 11, 2018factForm ADV
→ L•• F•••••••• L••Registered adviserregistration: previous registration
Jan 11, 2013 to Jun 6, 2018factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:e29f2485-0ba3-03a7-44fb-97e607d1d1f6
First observed: Apr 29, 2009
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.