DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)12 years in industry

L••••• C•••••• M•••••

Advisor at A••••••••• F•••••••• S•••••••• L••

••• Locked

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Search this name across graphsid dfx:ria:fb8ed324-3123-2e31-3c5b-00840ab927be

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:09 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Jul 29, 2016 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: A••••••••• F•••••••• S•••••••• L••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Aug 1, 2014earliest registration or exam on IAPD
Years in industry: 12derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
A••••••••• F•••••••• S•••••••• L••	National bd RIA	Sep 26, 2018	n/a	yes	Miamisburg, OH\|RICHMOND, IN\|Kettering, OH	Current employment
R•••••• J•••• F•••••••• S••••••• A•••••••• I••	Bd affiliated wealth	Oct 18, 2017	Sep 11, 2018	no	DAYTON, OH

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
R•••••• J•••• F•••••••• S••••••• A•••••••• I••	A••••••••• F•••••••• S•••••••• L••	Sep 11, 2018	Sep 26, 2018	15	Firm change	Ibd to ibd
U•• F•••••••• S••••••• I•••	R•••••• J•••• F•••••••• S••••••• A•••••••• I••	Oct 20, 2017

Relationships

Registered with (3)

→ A••••••••• F•••••••• S•••••••• L••Registered adviserregistration: current employment
Sep 26, 2018 to presentfactForm ADV
→ R•••••• J•••• F•••••••• S••••••• A•••••••• I••Registered adviserregistration: previous registration
Oct 18, 2017 to Sep 11, 2018factForm ADV
→ U•• F•••••••• S••••••• I•••Registered adviserregistration: previous registration
Jul 29, 2016 to Oct 20, 2017factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:fb8ed324-3123-2e31-3c5b-00840ab927be
First observed: Jul 29, 2016
Last observed: Sep 15, 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.