DFX Intelligence

W•••••• T••••• F•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisor28 years in industry

W•••••• T••••• F•••••

Advisor at A•••••••• I••••••••• M•••••••••

LOUISVILLE, KY

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Search this name across graphsid dfx:ria:f0e3de7e-cac7-e435-a2a3-00c3ef9baa65

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 3:23 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Sep 17, 2004 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•••••••• I••••••••• M•••••••••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Sep 2, 1998earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
A•••••••• I••••••••• M•••••••••	Independent wealth	Nov 20, 2020	n/a	yes	LOUISVILLE, KY\|LOUISVILLE, KY	Current employment
C••••••••• F•••••••• A•••••••• L••	n/a	Jan 9, 2008	Oct 27, 2020	no	LOUISVILLE, KY\|LOUISVILLE, KY\|LOUISVILLE, KY\|LOUISVILLE, KY

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C••••••••• F•••••••• A•••••••• L••	A•••••••• I••••••••• M•••••••••	Oct 27, 2020	Nov 20, 2020	24	Firm change	Other
T••••••••• F•••••••• A•••••••• L••	C••••••••• F•••••••• A•••••••• L••	Nov 12, 2007	Jan 9, 2008

Relationships

Registered with (3)

→ A•••••••• I••••••••• M•••••••••Registered adviserregistration: current employment
Nov 20, 2020 to presentfactForm ADV
→ C••••••••• F•••••••• A•••••••• L••Registered adviserregistration: previous registration
Jan 9, 2008 to Oct 27, 2020factForm ADV
→ T••••••••• F•••••••• A•••••••• L••Registered adviserregistration: previous registration
Sep 17, 2004 to Nov 12, 2007factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:f0e3de7e-cac7-e435-a2a3-00c3ef9baa65
First observed: Sep 17, 2004
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.