DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)28 years in industry

J•••• K•••••• K••••••••

Advisor at C•••••• S••••• • C••• I•••

Germantown, TN

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Search this name across graphsid dfx:ria:6d76054c-9065-5e72-d425-2c82004ca9a6

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 3:23 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 2
On other graphs: 0
Observed: Mar 31, 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: C•••••• S••••• • C••• I•••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Oct 13, 1997earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C•••••• S••••• • C••• I•••	National bd RIA	Aug 10, 2023	n/a	yes	Germantown, TN	Current employment
L••••• W••••• M••••••••• L••	Independent wealth	Jan 17, 2023	Jul 18, 2023	no	MEMPHIS, TN	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
L••••• W••••• M••••••••• L••	C•••••• S••••• • C••• I•••	Jul 18, 2023	Aug 10, 2023	23	Firm change	RIA to ibd
C•••••• S••••• • C••• I•••	L••••• W••••• M••••••••• L••	Feb 10, 2023	Jan 17, 2023

Team moves

••• Locked

Team	Left	Joined	From	Kind
288590:5393:MA:2021-09-29	Oct 1, 2021	Nov 2, 2021	BOSTON, MA	Firm change

Relationships

Registered with (4)

→ C•••••• S••••• • C••• I•••Registered adviserregistration: previous registration
Nov 2, 2021 to Feb 10, 2023factForm ADV
→ L••••• W••••• M••••••••• L••Registered adviserregistration: previous registration
Jan 17, 2023 to Jul 18, 2023factForm ADV
→ F••••••• P••••••• A•• W•••••••• A•••••••Registered adviserregistration: previous registration
Jul 13, 2018 to Oct 1, 2021factForm ADV
→ S•••••••• A••••••• L••

Dated events

Occurred
Jul 18, 2023
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Feb 10, 2023
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:6d76054c-9065-5e72-d425-2c82004ca9a6
First observed: Mar 31, 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.