DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)16 years in industry

C••••••••• A•••• K•••••

Advisor at S•••••• S••••••••• I•••

JACKSONVILLE, FL | PORT CHARLOTTE, FL

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Search this name across graphsid dfx:ria:97ba9c3f-fddf-8b37-cf47-a23b764e1fc1

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:16 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Jun 16, 2015 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•••••• S••••••••• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Apr 16, 2010earliest registration or exam on IAPD
Years in industry: 16derivedfrom the industry start date
Years at current firm: 6derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S•••••• S••••••••• I•••	Bd affiliated wealth	Nov 4, 2019	n/a	yes	JACKSONVILLE, FL\|PORT CHARLOTTE, FL	Current employment
L•• F•••••••• L••	Bd affiliated wealth	Jun 16, 2015	Nov 11, 2019	no	INDIATLANTIC, FL\|COCOA BEACH, FL\|MELBOURNE, FL\|ROCKLEDGE, FL\|ROCKLEDGE, FL\|MERRITT ISLAND, FL\|MELBOURNE, FL\|TITUSVILLE, FL\|ROCKLEDGE, FL\|PORT ST. JOHN, FL\|COCOA BEACH, FL\|MELBOURNE, FL

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
L•• F•••••••• L••	S•••••• S••••••••• I•••	Nov 11, 2019	Nov 4, 2019	-7	Firm change	Ibd to ibd

Relationships

Registered with (2)

→ S•••••• S••••••••• I•••Registered adviserregistration: current employment
Nov 4, 2019 to presentfactForm ADV
→ L•• F•••••••• L••Registered adviserregistration: previous registration
Jun 16, 2015 to Nov 11, 2019factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:97ba9c3f-fddf-8b37-cf47-a23b764e1fc1
First observed: Jun 16, 2015
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.