DFX Intelligence

S•••••• M•••• F••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)26 years in industry

S•••••• M•••• F••••••

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

CINCINNATI, OH | Cincinnati, OH

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Search this name across graphsid dfx:ria:f7c74f42-6b1b-b4b7-a45a-aedf068ba066

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:07 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Dec 7, 1999 to Sep 15, 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 public••• Locked
Industry start: Dec 7, 1999earliest registration or exam on IAPD
Years in industry: 26derivedfrom the industry start date
Years at current firm: 10derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
U•• F•••••••• S••••••• I•••	Wirehouse	Dec 28, 2015	n/a	yes	CINCINNATI, OH\|Cincinnati, OH	Current employment
M••••• S••••••	Wirehouse	Sep 23, 2013	Dec 4, 2015	no	Cincinnati, OH	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M••••• S••••••	U•• F•••••••• S••••••• I•••	Dec 4, 2015	Dec 28, 2015	24	Firm change	Wirehouse to wirehouse
R•••••• J•••• • A••••••••• I•••	M••••• S••••••	Sep 25, 2013	Sep 23, 2013

Relationships

Registered with (6)

→ U•• F•••••••• S••••••• I•••Registered adviserregistration: current employment
Dec 28, 2015 to presentfactForm ADV
→ M••••• S••••••Registered adviserregistration: previous registration
Sep 23, 2013 to Dec 4, 2015factForm ADV
→ R•••••• J•••• • A••••••••• I•••Registered adviserregistration: previous registration
Jun 8, 2011 to Sep 25, 2013factForm ADV
→ W•••• F•••• A•••••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:f7c74f42-6b1b-b4b7-a45a-aedf068ba066
First observed: Dec 7, 1999
Last observed: Sep 15, 2026 7 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.