DFX Intelligence

G•••• J•••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)18 years in industry

G•••• J•••••••

Advisor at S•••••••• A••••••• L••

CINCINNATI, OH | COVINGTON, KY

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Search this name across graphsid dfx:ria:f397e5a3-58bf-69a3-7481-8372bf01592e

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 1:21 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 2
On other graphs: 0
Observed: Nov 20, 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•••••••• A••••••• L••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Feb 1, 2008earliest registration or exam on IAPD
Years in industry: 18derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S•••••••• A••••••• L••	National bd RIA	Sep 29, 2025	n/a	yes	COVINGTON, KY\|CINCINNATI, OH	Current employment
W••••••••• W••••• M•••••••• L•••	Independent wealth	Oct 17, 2024	Apr 7, 2025	no	Deer Park, OH\|MANSFIELD, OH

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
W••••••••• W••••• M•••••••• L•••	S•••••••• A••••••• L••	Apr 7, 2025	Sep 29, 2025	175	Firm change	RIA to ibd
F••••••• P••••••• A•• W•••••••• A•••••••	W••••••••• W••••• M•••••••• L•••	Oct 5, 2024	Oct 17, 2024

Relationships

Registered with (3)

→ S•••••••• A••••••• L••Registered adviserregistration: previous registration
Nov 20, 2009 to Jul 13, 2018factForm ADV
→ W••••••••• W••••• M•••••••• L•••Registered adviserregistration: previous registration
Oct 17, 2024 to Apr 7, 2025factForm ADV
→ F••••••• P••••••• A•• W•••••••• A•••••••Registered adviserregistration: previous registration
Jul 13, 2018 to Oct 5, 2024factForm ADV

Dated events

Occurred
Apr 7, 2025
Advisor changed firm
G•••• J••••••• left W••••••••• W••••• M•••••••• L••• for S•••••••• A••••••• L•• (registered 2025-09-29)
Form ADVobserved 7 days ago
Occurred
Oct 5, 2024
Advisor changed firm
G•••• J••••••• left F••••••• P••••••• A•• W•••••••• A••••••• for W••••••••• W••••• M•••••••• L••• (registered 2024-10-17)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:f397e5a3-58bf-69a3-7481-8372bf01592e
First observed: Nov 20, 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.