DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)13 years in industry

K•••• C•••••• B••••

Advisor at J••• M••••• S••••••••• L••

Charlotte, NC | Raleigh, NC

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Search this name across graphsid dfx:ria:934213c6-1ed2-3588-89e1-b1997b247270

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 5:43 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 1
On other graphs: 0
Observed: Jan 29, 2021 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: J••• M••••• S••••••••• L••
Current firm class: wirehousederived
Book size: not public••• Locked
Industry start: Aug 1, 2013earliest registration or exam on IAPD
Years in industry: 13derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
J••• M••••• S••••••••• L••	Wirehouse	Feb 2, 2022	n/a	yes	Charlotte, NC\|Raleigh, NC	Current employment
C••••••• A•••• M••••••••• L••	Former SEC adviser	Jan 29, 2021	Feb 25, 2022	no	BOULDER, CO	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C••••••• A•••• M••••••••• L••	J••• M••••• S••••••••• L••	Feb 25, 2022	Feb 2, 2022	-23	Firm change	RIA to wirehouse

Relationships

Registered with (2)

→ J••• M••••• S••••••••• L••Registered adviserregistration: current employment
Feb 2, 2022 to presentfactForm ADV
→ C••••••• A•••• M••••••••• L••Registered adviserregistration: previous registration
Jan 29, 2021 to Feb 25, 2022factForm ADV

Dated events

Occurred
Feb 25, 2022
Advisor changed firm
K•••• C•••••• B•••• left C••••••• A•••• M••••••••• L•• for J••• M••••• S••••••••• L•• (registered 2022-02-02)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:934213c6-1ed2-3588-89e1-b1997b247270
First observed: Jan 29, 2021
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.