DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)32 years in industry

S••••• R•••••• K•••

Advisor at C•••••••• I••••••••• R••••••• A•••••••• I•••

Birmingham, AL

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Search this name across graphsid dfx:ria:c9003090-e3e9-47cf-69c9-a8f72ae1c96d

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:50 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jul 26, 2005 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: C•••••••• I••••••••• R••••••• A•••••••• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: May 25, 1994earliest registration or exam on IAPD
Years in industry: 32derivedfrom the industry start date
Years at current firm: 9derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C•••••••• I••••••••• R••••••• A•••••••• I•••	Bd affiliated wealth	Mar 24, 2017	n/a	yes	Birmingham, AL	Current employment
P•• A•••••••	Mixed wealth	Jun 6, 2013	Mar 24, 2017	no	HOOVER, AL	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
P•• A•••••••	C•••••••• I••••••••• R••••••• A•••••••• I•••	Mar 24, 2017	Mar 24, 2017	0	Firm change	Other
S••••• A••• A•••• M••••••••• I•••	P•• A•••••••	Apr 9, 2013	Jun 6, 2013

Relationships

Registered with (4)

→ C•••••••• I••••••••• R••••••• A•••••••• I•••Registered adviserregistration: current employment
Mar 24, 2017 to presentfactForm ADV
→ P•• A•••••••Registered adviserregistration: previous registration
Jun 6, 2013 to Mar 24, 2017factForm ADV
→ S••••• A••• A•••• M••••••••• I•••Registered adviserregistration: previous registration
Sep 11, 2009 to Apr 9, 2013factForm ADV
→ L••••• F••••••••• I•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:c9003090-e3e9-47cf-69c9-a8f72ae1c96d
First observed: Jul 26, 2005
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.