DFX Intelligence

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

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RIA / WealthAdvisorChartered Financial Consultantdual registered (broker-dealer)28 years in industry

K•••••• A••••• D••••••

Advisor at F•••• H•••••••• C••••••••• I•••

HURRICANE, UT | LAKE ST. LOUIS, MO

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Search this name across graphsid dfx:ria:ba98abab-2458-5eeb-3f4a-f34571f19664

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 11:47 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 2
On other graphs: 0
Observed: Nov 21, 2002 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: F•••• H•••••••• C••••••••• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: May 1, 1998earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
F•••• H•••••••• C••••••••• I•••	Bd affiliated wealth	Aug 31, 2026	n/a	yes	HURRICANE, UT\|LAKE ST. LOUIS, MO	Current employment
A••••••• F•••••••• A•••••••• L••	Bd affiliated wealth	Mar 5, 2026	Jul 7, 2026	no	Clinton, UT

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
A••••••• F•••••••• A•••••••• L••	F•••• H•••••••• C••••••••• I•••	Jul 7, 2026	Aug 31, 2026	55	Firm change	Ibd to ibd
E••••• J••••	A••••••• F•••••••• A•••••••• L••	Sep 5, 2025	Mar 5, 2026

Relationships

Registered with (4)

→ F•••• H•••••••• C••••••••• I•••Registered adviserregistration: current employment
Aug 31, 2026 to presentfactForm ADV
→ A••••••• F•••••••• A•••••••• L••Registered adviserregistration: previous registration
Mar 5, 2026 to Jul 7, 2026factForm ADV
→ E••••• J••••Registered adviserregistration: previous registration
Feb 9, 2023 to Sep 5, 2025factForm ADV
→ C•••••• L••

Dated events

Occurred
Jul 7, 2026
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Sep 5, 2025
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:ba98abab-2458-5eeb-3f4a-f34571f19664
First observed: Nov 21, 2002
Last observed: Sep 15, 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.