DFX Intelligence

S••••• K••••••• R•••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Planner|Chartered Financial Consultantdual registered (broker-dealer)41 years in industry

S••••• K••••••• R•••

Advisor at O• I••••••••• M••••••••• C•

Blountville, TN

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Search this name across graphsid dfx:ria:3ab0bdbb-cedb-84bf-d287-208fed1e9ad9

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 11:18 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Mar 15, 2004 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: O• I••••••••• M••••••••• C•
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Jul 1, 1985earliest registration or exam on IAPD
Years in industry: 41derivedfrom the industry start date
Years at current firm: 19derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
O• I••••••••• M••••••••• C•	Bd affiliated wealth	Jun 8, 2007	n/a	yes	Blountville, TN	Current employment
M•• F•••••••• S•••••••• I•••	Former SEC adviser	Mar 15, 2004	Feb 24, 2005	no	KINGSPORT, TN	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M•• F•••••••• S•••••••• I•••	O• I••••••••• M••••••••• C•	Feb 24, 2005	Jun 8, 2007	834	Firm change after gap	Other

Relationships

Registered with (2)

→ O• I••••••••• M••••••••• C•Registered adviserregistration: current employment
Jun 8, 2007 to presentfactForm ADV
→ M•• F•••••••• S•••••••• I•••Registered adviserregistration: previous registration
Mar 15, 2004 to Feb 24, 2005factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:3ab0bdbb-cedb-84bf-d287-208fed1e9ad9
First observed: Mar 15, 2004
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.