DFX Intelligence

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

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RIA / WealthAdvisorChartered Financial Consultantdual registered (broker-dealer)43 years in industry

K•••••• R••••• S••••••••

Advisor at V•••••• A•••••••• I•••

Charlotte, NC

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Search this name across graphsid dfx:ria:c00466c2-8797-f23c-e83e-049782d0ffaa

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 5:18 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Dec 31, 2001 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: V•••••• A•••••••• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Jul 11, 1983earliest registration or exam on IAPD
Years in industry: 43derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
V•••••• A•••••••• I•••	Bd affiliated wealth	Mar 28, 2022	n/a	yes	Charlotte, NC	Current employment
K••••• A••••••• S•••••••• L••	Bd affiliated wealth	Mar 23, 2017	Mar 25, 2022	no	CHARLOTTE, NC\|AUSTIN, TX

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
K••••• A••••••• S•••••••• L••	V•••••• A•••••••• I•••	Mar 25, 2022	Mar 28, 2022	3	Firm change	Ibd to ibd
I•• R•••••• A••••••• I••	K••••• A••••••• S•••••••• L••	Feb 22, 2017	Mar 23, 2017

Relationships

Registered with (3)

→ V•••••• A•••••••• I•••Registered adviserregistration: current employment
Mar 28, 2022 to presentfactForm ADV
→ K••••• A••••••• S•••••••• L••Registered adviserregistration: previous registration
Mar 23, 2017 to Mar 25, 2022factForm ADV
→ I•• R•••••• A••••••• I••Registered adviserregistration: previous registration
Dec 31, 2001 to Feb 22, 2017factForm ADV

Dated events

Occurred
Mar 25, 2022
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:c00466c2-8797-f23c-e83e-049782d0ffaa
First observed: Dec 31, 2001
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.