DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)26 years in industry

A•••• N••• K••••••

Advisor at S•••• M•••• G••••• L••

EASTLAND, TX

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Search this name across graphsid dfx:ria:042b3d9f-40f4-4e93-bf4b-842c9860ca0d

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 5:13 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Jul 26, 2007 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•••• M•••• G••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Jan 1, 2000earliest 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: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S•••• M•••• G••••• L••	Independent wealth	Jul 28, 2016	n/a	yes	EASTLAND, TX	Current employment
V•• A••••••• S•••••••	Former SEC adviser	Jul 26, 2007	Jul 29, 2016	no	WORDEN, IL\|OVERLAND PARK, KS\|EASTLAND, TX\|OVERLAND PARK, KS\|EASTLAND, TX

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
V•• A••••••• S•••••••	S•••• M•••• G••••• L••	Jul 29, 2016	Jul 28, 2016	-1	Firm change	Other

Team moves

••• Locked

Team	Left	Joined	From	Kind
14503:284187:TX:2016-07-29	Jul 29, 2016	Jul 28, 2016	EASTLAND, TX	Firm change

Relationships

Registered with (2)

→ S•••• M•••• G••••• L••Registered adviserregistration: current employment
Jul 28, 2016 to presentfactForm ADV
→ V•• A••••••• S•••••••Registered adviserregistration: previous registration
Jul 26, 2007 to Jul 29, 2016factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:042b3d9f-40f4-4e93-bf4b-842c9860ca0d
First observed: Jul 26, 2007
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.