DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)28 years in industry

N••••• E••••• K•••••••

Advisor at F•••• C••••••• A•••• M••••••••• I••

••• Locked

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Search this name across graphs

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 5:50 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Aug 21, 2002 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: F•••• C••••••• A•••• M••••••••• I••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Jul 30, 1998earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 13derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
F•••• C••••••• I••••••• S•••••••• I•••	Bd affiliated wealth	May 15, 2017	n/a	yes	Laurens, SC\|WILLIAMSTON, NC\|CHARLOTTE, NC\|Anderson, SC	Current employment
F•••• C••••••• A•••• M••••••••• I••	Bd affiliated wealth	Jul 31, 2013	n/a	yes	Anderson, SC

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
S••••••• I••••••••• S•••••••• I•••	F•••• C••••••• A•••• M••••••••• I••	Jul 12, 2013	Jul 31, 2013	19	Firm change	Other
W•••• F•••• A•••••••	S••••••• I••••••••• S•••••••• I•••	Mar 17, 2006	Mar 29, 2006

Relationships

Registered with (4)

→ F•••• C••••••• I••••••• S•••••••• I•••Registered adviserregistration: current employment
May 15, 2017 to presentfactForm ADV
→ F•••• C••••••• A•••• M••••••••• I••Registered adviserregistration: current employment
Jul 31, 2013 to presentfactForm ADV
→ S••••••• I••••••••• S•••••••• I•••Registered adviserregistration: previous registration
Mar 29, 2006 to Jul 12, 2013factForm ADV
→ W•••• F•••• A•••••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Aug 21, 2002
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.