DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Planner16 years in industry

K•••••• R•••• C••••••

Advisor at S••••• W••••• M•••••••••

San Antonio, TX | ROCKFORD, IL

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Search this name across graphsid dfx:ria:7631c9ce-ffdb-2006-f1ac-cf040722359f

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 5:48 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Nov 12, 2009 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: S••••• W••••• M•••••••••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Sep 29, 2009earliest registration or exam on IAPD
Years in industry: 16derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S••••• W••••• M•••••••••	Independent wealth	Apr 9, 2026	n/a	yes	San Antonio, TX\|ROCKFORD, IL	Current employment
E••••••• W••••• A•••••••	Former SEC adviser	Apr 12, 2016	Apr 30, 2026	no	San Antonio, TX\|OKLAHOMA CITY, OK

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
E••••••• W••••• A•••••••	S••••• W••••• M•••••••••	Apr 30, 2026	Apr 9, 2026	-21	Bulk transfer	RIA to RIA
N•••••• • P••• C•••	E••••••• W••••• A•••••••	Apr 27, 2016	Apr 12, 2016

Team moves

••• Locked

Team	Left	Joined	From	Kind
110732:130475:TX:2016-04-27	Apr 27, 2016	Apr 12, 2016	SAN ANTONIO, TX	Firm change

Relationships

Registered with (3)

→ S••••• W••••• M•••••••••Registered adviserregistration: current employment
Apr 9, 2026 to presentfactForm ADV
→ E••••••• W••••• A•••••••Registered adviserregistration: previous registration
Apr 12, 2016 to Apr 30, 2026factForm ADV
→ N•••••• • P••• C•••Registered adviserregistration: previous registration
Nov 12, 2009 to Apr 27, 2016factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:7631c9ce-ffdb-2006-f1ac-cf040722359f
First observed: Nov 12, 2009
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.