DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)34 years in industry

I••• L•••••• C•••• B•••••••••

Advisor at A••••••• W••••• A•••••••

Alpharetta, GA

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Search this name across graphsid dfx:ria:b445dd35-6dfe-172b-bf97-198f447a4793

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:01 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Jul 26, 2011 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: A••••••• W••••• A•••••••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Sep 2, 1992earliest registration or exam on IAPD
Years in industry: 34derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
A••••••• W••••• A•••••••	Bd affiliated wealth	Aug 19, 2022	n/a	yes	Alpharetta, GA	Current employment
K•••• M•••••••••	Former SEC adviser	Feb 17, 2015	Sep 30, 2022	no	PONTE VEDRA BEACH, FL\|Alpharetta, GA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
K•••• M•••••••••	A••••••• W••••• A•••••••	Sep 30, 2022	Aug 19, 2022	-42	Firm change after gap	Ibd to ibd
T•••• A•••••••• L••	K•••• M•••••••••	Mar 1, 2012	Mar 30, 2012

Relationships

Registered with (4)

→ A••••••• W••••• A•••••••Registered adviserregistration: current employment
Aug 19, 2022 to presentfactForm ADV
→ K•••• M•••••••••Registered adviserregistration: previous registration
Feb 17, 2015 to Sep 30, 2022factForm ADV
→ T•••• A•••••••• L••Registered adviserregistration: previous registration
Oct 7, 2011 to Mar 1, 2012factForm ADV
→ H•••••• T••••••• • K•••• L••

Dated events

Occurred
Sep 30, 2022
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b445dd35-6dfe-172b-bf97-198f447a4793
First observed: Jul 26, 2011
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.