DFX Intelligence

J•••• K••• R•••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)32 years in industry

J•••• K••• R•••••••

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

HOUSTON, TX

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Search this name across graphsid dfx:ria:ac13737e-64b0-e646-8791-203ff8eb8cf9

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 3:24 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Nov 15, 2002 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: May 9, 1994earliest registration or exam on IAPD
Years in industry: 32derivedfrom the industry start date
Years at current firm: 17derivedfrom 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	Apr 14, 2009	n/a	yes	HOUSTON, TX	Current employment
W•••• F•••• A•••••••	Wirehouse	Jan 1, 2008	Apr 16, 2009	no	THE WOODLANDS, TX	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
W•••• F•••• A•••••••	S•••••• N••••••• • C••••••• I•••••••••	Apr 16, 2009	Apr 14, 2009	-2	Firm change	Wirehouse to ibd
A• G• E•••••• • S•••• I•••	W•••• F•••• A•••••••	Jan 1, 2008	Jan 1, 2008

Relationships

Registered with (3)

→ S•••••• N••••••• • C••••••• I•••••••••Registered adviserregistration: current employment
Apr 14, 2009 to presentfactForm ADV
→ W•••• F•••• A•••••••Registered adviserregistration: previous registration
Jan 1, 2008 to Apr 16, 2009factForm ADV
→ A• G• E•••••• • S•••• I•••Registered adviserregistration: previous registration
Nov 15, 2002 to Jan 1, 2008factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:ac13737e-64b0-e646-8791-203ff8eb8cf9
First observed: Nov 15, 2002
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.