DFX Intelligence

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

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RIA / WealthAdvisor16 years in industry

S••• M•••••• K•••••

Advisor at N•••••• A•••••••

••• Locked

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Search this name across graphsid dfx:ria:4619eb71-80ec-c591-a0a6-b7e2572fff16

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 3:18 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 2
On other graphs: 0
Observed: Jun 11, 2021 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: N•••••• A•••••••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Aug 1, 2010earliest registration or exam on IAPD
Years in industry: 16derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
N•••••• A•••••••	Bd affiliated wealth	Jan 15, 2026	n/a	yes	Exeter, NH\|Sarasota, FL\|NEW ORLEANS, LA	Current employment
B••• W••••• M•••••••••	Independent wealth	Oct 3, 2022	Jan 16, 2026	no	LAKEWOOD RANCH, FL

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
B••• W••••• M•••••••••	N•••••• A•••••••	Jan 16, 2026	Jan 15, 2026	-1	Firm change	RIA to ibd
I•••••••• I••••••••• I•••	B••• W••••• M•••••••••	Oct 3, 2022	Oct 3, 2022

Relationships

Registered with (3)

→ N•••••• A•••••••Registered adviserregistration: current employment
Jan 15, 2026 to presentfactForm ADV
→ B••• W••••• M•••••••••Registered adviserregistration: previous registration
Oct 3, 2022 to Jan 16, 2026factForm ADV
→ I•••••••• I••••••••• I•••Registered adviserregistration: previous registration
Jun 11, 2021 to Oct 3, 2022factForm ADV

Dated events

Occurred
Jan 16, 2026
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Oct 3, 2022
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:4619eb71-80ec-c591-a0a6-b7e2572fff16
First observed: Jun 11, 2021
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.