DFX Intelligence

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

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)21 years in industry

C••• N••••• K•••••

Advisor at S•••••• C•••••• M•••••••••

DENVER, CO | Memphis, TN

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:c1c4ab65-9d8f-4abc-b1de-ad20d1631965

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 3:07 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Sep 29, 2004 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: S•••••• C•••••• M•••••••••
Current firm class: mixed wealth managerderived
Book size: not public••• Locked
Industry start: Sep 28, 2004earliest registration or exam on IAPD
Years in industry: 21derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S•••••• C•••••• M•••••••••	Mixed wealth	Feb 23, 2026	n/a	yes	DENVER, CO\|Memphis, TN	Current employment
S••••••• A•••• M••••••••• L••	Former SEC adviser	Feb 25, 2013	Mar 30, 2026	no	MEMPHIS, TN	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
S••••••• A•••• M••••••••• L••	S•••••• C•••••• M•••••••••	Mar 30, 2026	Feb 23, 2026	-35	Firm change after gap	Other
R•••••• J•••• • A••••••••• I•••	S••••••• A•••• M••••••••• L••	Feb 27, 2013	Feb 25, 2013

Team moves

••• Locked

Team	Left	Joined	From	Kind
166133:104720:TN:2026-03-30	Mar 30, 2026	Feb 23, 2026	MEMPHIS, TN	Firm change after gap

Relationships

Registered with (6)

→ S•••••• C•••••• M•••••••••Registered adviserregistration: current employment
Feb 23, 2026 to presentfactForm ADV
→ S••••••• A•••• M••••••••• L••Registered adviserregistration: previous registration
Feb 25, 2013 to Mar 30, 2026factForm ADV
→ R•••••• J•••• • A••••••••• I•••Registered adviserregistration: previous registration
Feb 13, 2013 to Feb 27, 2013factForm ADV
→ M••••• K••••• • C••••••• L••

Dated events

Occurred
Mar 30, 2026
Advisor changed firm
C••• N••••• K••••• left S••••••• A•••• M••••••••• L•• for S•••••• C•••••• M••••••••• (registered 2026-02-23)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:c1c4ab65-9d8f-4abc-b1de-ad20d1631965
First observed: Sep 29, 2004
Last observed: Sep 15, 2026 7 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.