DFX Intelligence

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

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RIA / WealthAdvisor22 years in industry

C••••• K•••••••• C•••

Advisor at A••• W••••• M•••••••••

Little Rock, AR | SARATOGA, CA

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Search this name across graphsid dfx:ria:6c0be14b-c022-f41e-af77-1a873f127c83

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 3:11 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Mar 8, 2008 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: A••• W••••• M•••••••••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Dec 4, 2003earliest registration or exam on IAPD
Years in industry: 22derivedfrom the industry start date
Years at current firm: 6derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
A••• W••••• M•••••••••	Independent wealth	Nov 22, 2019	n/a	yes	Little Rock, AR\|SARATOGA, CA	Current employment
C•••••• W••••• M•••••••••	Former SEC adviser	Feb 3, 2010	Dec 31, 2017	no	LITTLE ROCK, AR

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C•••••• W••••• M•••••••••	A••• W••••• M•••••••••	Dec 31, 2017	Nov 22, 2019	691	Firm change after gap	Other
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	C•••••• W••••• M•••••••••	Feb 4, 2010	Feb 3, 2010

Relationships

Registered with (3)

→ A••• W••••• M•••••••••Registered adviserregistration: current employment
Nov 22, 2019 to presentfactForm ADV
→ C•••••• W••••• M•••••••••Registered adviserregistration: previous registration
Feb 3, 2010 to Dec 31, 2017factForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Registered adviserregistration: previous registration
Mar 8, 2008 to Feb 4, 2010factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:6c0be14b-c022-f41e-af77-1a873f127c83
First observed: Mar 8, 2008
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.