DFX Intelligence

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

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthAdvisordual registered (broker-dealer)41 years in industry

R••••• L••••• F••

Advisor at T••••••• S••••••• A•••••••

Bexley, OH

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:fe7271b6-8230-bb40-cc24-709fbf9347a4

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 10:56 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Dec 5, 2005 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: T••••••• S••••••• A•••••••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Nov 14, 1984earliest registration or exam on IAPD
Years in industry: 41derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
T••••••• S••••••• A•••••••	Bd affiliated wealth	Jan 20, 2023	n/a	yes	Bexley, OH	Current employment
1••• A•••••••	Former SEC adviser	Aug 21, 2019	Jan 17, 2023	no	WEST CONSHOHOCKEN, PA\|Columbus, OH	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
1••• A•••••••	T••••••• S••••••• A•••••••	Jan 17, 2023	Jan 20, 2023	3	Firm change	RIA to ibd
C••••••••• A••••••• L••	1••• A•••••••	Aug 15, 2019	Aug 21, 2019

Team moves

••• Locked

Team	Left	Joined	From	Kind
100:299201:OH:2023-01-17	Jan 17, 2023	Jan 20, 2023	COLUMBUS, OH	Firm change
286260:100:OH:2019-08-15	Aug 15, 2019	Aug 21, 2019	COLUMBUS, OH	Firm change

Relationships

Registered with (5)

→ T••••••• S••••••• A•••••••Registered adviserregistration: current employment
Jan 20, 2023 to presentfactForm ADV
→ 1••• A•••••••Registered adviserregistration: previous registration
Aug 21, 2019 to Jan 17, 2023factForm ADV
→ C••••••••• A••••••• L••Registered adviserregistration: previous registration
Jun 19, 2017 to Aug 15, 2019factForm ADV
→ W•••• F•••• A•••••••Registered adviser

Dated events

Occurred
Jan 17, 2023
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:fe7271b6-8230-bb40-cc24-709fbf9347a4
First observed: Dec 5, 2005
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.