DFX Intelligence

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

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthAdvisordual registered (broker-dealer)31 years in industry

K•••• G••••• H•••••

Advisor at U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P••••••

NASHVILLE, TN | SCOTTSDALE, AZ

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:69bb9924-7c5a-bd8d-77ec-e85211e41999

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:39 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Jun 6, 2005 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: ••• Locked
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Jun 13, 1995earliest registration or exam on IAPD
Years in industry: 31derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P••••••	Independent wealth	Jan 9, 2026	n/a	yes	NASHVILLE, TN\|SCOTTSDALE, AZ	Current employment
S••••••• I••••••••• S•••••••• I•••	Former SEC adviser	Jun 6, 2005	Jun 1, 2012	no	NASHVILLE, TN\|NASHVILLE, TN\|NASHVILLE, TN\|NASHVILLE, TN\|NASHVILLE, TN\|NASHVILLE, TN\|ANTIOCH, TN\|BRENTWOOD, TN\|NASHVILLE, TN\|NASHVILLE, TN\|FRANKLIN, TN\|SPRINGFIELD, TN\|NASHVILLE, TN\|NASHVILLE, TN\|NASHVILLE, TN\|NASHVILLE, TN

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
S••••••• I••••••••• S•••••••• I•••	U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P••••••	Jun 1, 2012	Jan 9, 2026	4,970	Firm change after gap	Other

Relationships

Registered with (2)

→ U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P••••••Registered adviserregistration: current employment
Jan 9, 2026 to presentfactForm ADV
→ S••••••• I••••••••• S•••••••• I•••Registered adviserregistration: previous registration
Jun 6, 2005 to Jun 1, 2012factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:69bb9924-7c5a-bd8d-77ec-e85211e41999
First observed: Jun 6, 2005
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.