DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)10 years in industry

A••• K•••• S••••••••

Advisor at U••• B•••••• A•••••••• L••

••• Locked

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Search this name across graphsid dfx:ria:6933b9d0-216c-a0fa-f75d-05c5611b1faa

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 9:18 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 3
On other graphs: 0
Observed: Oct 4, 2017 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: U••• B•••••• A•••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Oct 1, 2015earliest registration or exam on IAPD
Years in industry: 10derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
U••• B•••••• A•••••••• L••	Bd affiliated wealth	Feb 13, 2026	n/a	yes	Paducah, KY\|Bowling Green, KY\|Bowling Green, KY\|Bowling Green, KY\|Russellville, KY\|Benton, KY\|Paducah, KY\|Murray, KY\|Mayfield, KY\|Paducah, KY\|Paducah, KY\|Paducah, KY	Current employment
U••• B•••••• I••••••••• I•••	Former SEC adviser	Jun 27, 2025	Feb 13, 2026	no

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
U••• B•••••• I••••••••• I•••	U••• B•••••• A•••••••• L••	Feb 13, 2026	Feb 13, 2026	0	Bulk transfer	Ibd to ibd
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	U••• B•••••• I••••••••• I•••	Jun 28, 2025	Jun 27, 2025

Relationships

Registered with (6)

→ U••• B•••••• A•••••••• L••Registered adviserregistration: current employment
Feb 13, 2026 to presentfactForm ADV
→ U••• B•••••• I••••••••• I•••Registered adviserregistration: previous registration
Jun 27, 2025 to Feb 13, 2026factForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Registered adviserregistration: previous registration
Dec 7, 2022 to Jun 28, 2025factForm ADV
→ E••••• J••••

Dated events

Occurred
Jun 28, 2025
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago
Occurred
Nov 4, 2022
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago
Occurred
May 17, 2022
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:6933b9d0-216c-a0fa-f75d-05c5611b1faa
First observed: Oct 4, 2017
Last observed: Sep 15, 2026 7 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.