DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)29 years in industry

K•••••••• G••••• K•••••••••

Advisor at A••••••••• F•••••••• S•••••••• L••

LOUISVILLE, KY

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Search this name across graphsid dfx:ria:549998e8-96ab-f69f-0668-9d4bd0511bed

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:46 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Jan 7, 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: A••••••••• F•••••••• S•••••••• L••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Oct 25, 1996earliest registration or exam on IAPD
Years in industry: 29derivedfrom the industry start date
Years at current firm: 9derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
A••••••••• F•••••••• S•••••••• L••	National bd RIA	Jun 23, 2017	n/a	yes	LOUISVILLE, KY\|LOUISVILLE, KY	Current employment
J••••• H•••••••• W••• L••••• L••	Former SEC adviser	Jan 7, 2004	Jun 27, 2017	no	LOUISVILLE, KY\|LOUISVILLE, KY

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
J••••• H•••••••• W••• L••••• L••	A••••••••• F•••••••• S•••••••• L••	Jun 27, 2017	Jun 23, 2017	-4	Firm change	Other

Relationships

Registered with (2)

→ A••••••••• F•••••••• S•••••••• L••Registered adviserregistration: current employment
Jun 23, 2017 to presentfactForm ADV
→ J••••• H•••••••• W••• L••••• L••Registered adviserregistration: previous registration
Jan 7, 2004 to Jun 27, 2017factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:549998e8-96ab-f69f-0668-9d4bd0511bed
First observed: Jan 7, 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.