DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)18 years in industry

L••••• U••••• R•••

Advisor at N••••••••• I••••••••• A•••••••• L••

COLUMBUS, OH

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Search this name across graphsid dfx:ria:ed93c7bd-ce15-6937-f16f-6b1e76c0a2cd

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:42 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Jan 7, 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: N••••••••• I••••••••• A•••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Sep 3, 2008earliest registration or exam on IAPD
Years in industry: 18derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
N••••••••• I••••••••• A•••••••• L••	Bd affiliated wealth	Sep 9, 2022	n/a	yes	COLUMBUS, OH	Current employment
W•••• F•••• A•••••••	Wirehouse	Feb 8, 2012	Oct 11, 2013	no	ROSEVILLE, CA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
W•••• F•••• A•••••••	N••••••••• I••••••••• A•••••••• L••	Oct 11, 2013	Sep 9, 2022	3,255	Firm change after gap	Wirehouse to ibd
U•• F•••••••• S••••••• I•••	W•••• F•••• A•••••••	Jan 30, 2012	Feb 8, 2012

Relationships

Registered with (3)

→ N••••••••• I••••••••• A•••••••• L••Registered adviserregistration: current employment
Sep 9, 2022 to presentfactForm ADV
→ W•••• F•••• A•••••••Registered adviserregistration: previous registration
Feb 8, 2012 to Oct 11, 2013factForm ADV
→ U•• F•••••••• S••••••• I•••Registered adviserregistration: previous registration
Jan 7, 2009 to Jan 30, 2012factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:ed93c7bd-ce15-6937-f16f-6b1e76c0a2cd
First observed: Jan 7, 2009
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.