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

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RIA / WealthAdvisordual registered (broker-dealer)21 years in industry

K••• T••••• C•••••

Advisor at S••••••••• I•••••••••

The Woodlands, TX | NEW YORK, NY

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Search this name across graphsid dfx:ria:824b0c37-11b5-3a9a-c2a3-085f822da64b

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 12:08 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Feb 25, 2005 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: S••••••••• I•••••••••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Feb 24, 2005earliest registration or exam on IAPD
Years in industry: 21derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S••••••••• I•••••••••	Independent wealth	Mar 14, 2024	n/a	yes	The Woodlands, TX\|NEW YORK, NY	Current employment
O••••••••• S••••••••• I•••	Bd affiliated wealth	Jul 15, 2015	Mar 20, 2024	no	HOUSTON, TX\|Conroe, TX\|INDIANAPOLIS, IN

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
O••••••••• S••••••••• I•••	S••••••••• I•••••••••	Mar 20, 2024	Mar 14, 2024	-6	Firm change	Ibd to RIA
P•• M•••••• A•••••• S••••••••• I•••	O••••••••• S••••••••• I•••	Jun 5, 2015	Jul 15, 2015

Relationships

Registered with (6)

→ S••••••••• I•••••••••Registered adviserregistration: current employment
Mar 14, 2024 to presentfactForm ADV
→ O••••••••• S••••••••• I•••Registered adviserregistration: previous registration
Jul 15, 2015 to Mar 20, 2024factForm ADV
→ P•• M•••••• A•••••• S••••••••• I•••Registered adviserregistration: previous registration
Mar 20, 2014 to Jun 5, 2015factForm ADV
→ O•••• F•• I•••

Dated events

Occurred
Mar 20, 2024
Advisor changed firm
K••• T••••• C••••• left O••••••••• S••••••••• I••• for S••••••••• I••••••••• (registered 2024-03-14)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:824b0c37-11b5-3a9a-c2a3-085f822da64b
First observed: Feb 25, 2005
Last observed: Sep 14, 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.