DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)40 years in industry

D•••• H••••••• K•••••

Advisor at S•••••• N••••••• • C••••••• I•••••••••

ST. JOSEPH, MI | Cape Coral, FL

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Search this name across graphsid dfx:ria:8f6fbef0-6049-7222-a54d-1bd42ba444c4

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:27 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Jul 27, 2006 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•••••• N••••••• • C••••••• I•••••••••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Apr 18, 1986earliest registration or exam on IAPD
Years in industry: 40derivedfrom the industry start date
Years at current firm: 11derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S•••••• N••••••• • C••••••• I•••••••••	National bd RIA	Feb 9, 2015	n/a	yes	ST. JOSEPH, MI\|Cape Coral, FL	Current employment
W•••• F•••• A•••••••	Wirehouse	Aug 4, 2006	Feb 9, 2015	no	CAPE CORAL, FL\|ST. JOSEPH, MI

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
W•••• F•••• A•••••••	S•••••• N••••••• • C••••••• I•••••••••	Feb 9, 2015	Feb 9, 2015	0	Firm change	Wirehouse to ibd
A• G• E•••••• • S•••• I•••	W•••• F•••• A•••••••	Aug 21, 2006	Aug 4, 2006

Team moves

••• Locked

Team	Left	Joined	From	Kind
11025:793:MI:2015-02-09	Feb 9, 2015	Feb 9, 2015	ST JOSEPH, MI	Firm change

Relationships

Registered with (3)

→ S•••••• N••••••• • C••••••• I•••••••••Registered adviserregistration: current employment
Feb 9, 2015 to presentfactForm ADV
→ W•••• F•••• A•••••••Registered adviserregistration: previous registration
Aug 4, 2006 to Feb 9, 2015factForm ADV
→ A• G• E•••••• • S•••• I•••Registered adviserregistration: previous registration
Jul 27, 2006 to Aug 21, 2006factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:8f6fbef0-6049-7222-a54d-1bd42ba444c4
First observed: Jul 27, 2006
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.