DFX Intelligence

L••••••• W•••• C•••••: advisor on the ria / wealth management graph | DFX Data Factory

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthAdvisordual registered (broker-dealer)27 years in industry

L••••••• W•••• C•••••

Advisor at R••••••••• P••••••• S••••••••• L••

LOUISVILLE, KY

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphs

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 9:43 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Oct 28, 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: R••••••••• P••••••• S••••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Jul 23, 1999earliest registration or exam on IAPD
Years in industry: 27derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
R••••••••• P••••••• S••••••••• L••	Independent wealth	Jan 8, 2024	n/a	yes	LOUISVILLE, KY	Current employment
W•••• F•••• A•••••••	Wirehouse	Jan 1, 2008	Dec 20, 2023	no	LOUISVILLE, KY\|LOUISVILLE, KY

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
W•••• F•••• A•••••••	R••••••••• P••••••• S••••••••• L••	Dec 20, 2023	Jan 8, 2024	19	Firm change	Wirehouse to RIA
A• G• E•••••• • S•••• I•••	W•••• F•••• A•••••••	Jan 1, 2008	Jan 1, 2008

Relationships

Registered with (3)

→ R••••••••• P••••••• S••••••••• L••Registered adviserregistration: current employment
Jan 8, 2024 to presentfactForm ADV
→ W•••• F•••• A•••••••Registered adviserregistration: previous registration
Jan 1, 2008 to Dec 20, 2023factForm ADV
→ A• G• E•••••• • S•••• I•••Registered adviserregistration: previous registration
Oct 28, 2003 to Jan 1, 2008factForm ADV

Dated events

Order

Occurred
20 Dec 2023
Advisor changed firm
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Oct 28, 2003
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.