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

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RIA / WealthAdvisorChartered Financial Analystdual registered (broker-dealer)15 years in industry

N••• L•••

Advisor at U•• F•••••••• S••••••• I•••

CINCINNATI, OH

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Search this name across graphsid dfx:ria:f6ee3f96-4848-bc23-3f20-8e7052b2bb56

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:19 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Jun 20, 2011 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: U•• F•••••••• S••••••• I•••
Current firm class: wirehousederived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jun 1, 2011earliest registration or exam on IAPD
Years in industry: 15derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 2

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
U•• F•••••••• S••••••• I•••	Wirehouse	Aug 9, 2023	n/a	yes	CINCINNATI, OH	Current employment
R••••••• C• I••	Other adviser	Aug 14, 2018	Apr 7, 2020	no	CINCINNATI, OH

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
R••••••• C• I••	U•• F•••••••• S••••••• I•••	Apr 7, 2020	Aug 9, 2023	1,219	Firm change after gap	Other
A••••••••• F•••••••• S•••••••• L••	R••••••• C• I••	Aug 7, 2018

Relationships

Registered with (3)

→ U•• F•••••••• S••••••• I•••Registered adviserregistration: current employment
Aug 9, 2023 to presentfactForm ADV
→ R••••••• C• I••Registered adviserregistration: previous registration
Aug 14, 2018 to Apr 7, 2020factForm ADV
→ A••••••••• F•••••••• S•••••••• L••Registered adviserregistration: previous registration
Jun 20, 2011 to Aug 7, 2018factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:f6ee3f96-4848-bc23-3f20-8e7052b2bb56
First observed: Jun 20, 2011
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.