DFX Intelligence

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

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

K•••••••• D••• S•••

Advisor at C•••••• I••••••••• A••••••• S•••••••• L••

KNIGHTDALE, NC | RALEIGH, NC

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Search this name across graphsid dfx:ria:910736fa-8eb2-271d-e83f-986802d6352c

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 3:25 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Oct 24, 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: C•••••• I••••••••• A••••••• S•••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Oct 18, 2004earliest registration or exam on IAPD
Years in industry: 21derivedfrom the industry start date
Years at current firm: 13derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C•••••• I••••••••• A••••••• S•••••••• L••	Bd affiliated wealth	Jan 2, 2013	n/a	yes	RALEIGH, NC\|KNIGHTDALE, NC	Current employment
C•• A•••••••• L••	n/a	Apr 29, 2009	Dec 31, 2012	no	RALEIGH, NC

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C•• A•••••••• L••	C•••••• I••••••••• A••••••• S•••••••• L••	Dec 31, 2012	Jan 2, 2013	2	Bulk transfer	Other
W•••• F•••• A•••••••	C•• A•••••••• L••	May 4, 2009	Apr 29, 2009

Relationships

Registered with (3)

→ C•••••• I••••••••• A••••••• S•••••••• L••Registered adviserregistration: current employment
Jan 2, 2013 to presentfactForm ADV
→ C•• A•••••••• L••Registered adviserregistration: previous registration
Apr 29, 2009 to Dec 31, 2012factForm ADV
→ W•••• F•••• A•••••••Registered adviserregistration: previous registration
Oct 24, 2006 to May 4, 2009factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:910736fa-8eb2-271d-e83f-986802d6352c
First observed: Oct 24, 2006
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.