DFX Intelligence

Data Factory

A••••• K•••••• C••••: 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 / WealthAdvisordual registered (broker-dealer)22 years in industry

A••••• K•••••• C••••

Advisor at S•••••• N••••••• • C••••••• I•••••••••

WAUKESHA, WI

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:ca89b78d-2c64-d7f5-0b2d-1775368f13a3

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 1:57 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Feb 6, 2007 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: S•••••• N••••••• • C••••••• I•••••••••
Current firm class: national broker-dealer RIAderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Apr 23, 2004earliest registration or exam on IAPD
Years in industry: 22derivedfrom the industry start date
Years at current firm: 8derivedfrom the current registration's begin date
Prior firms

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
S•••••• N••••••• • C••••••• I•••••••••	National bd RIA	Mar 16, 2018	n/a	yes	WAUKESHA, WI	Current employment
B• C• Z•••••• A•• C••••••	Former SEC adviser	Feb 6, 2007	Mar 16, 2018	no

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
B• C• Z•••••• A•• C••••••	S•••••• N••••••• • C••••••• I•••••••••	Mar 16, 2018	Mar 16, 2018	0	Bulk transfer	Other

Relationships

Registered with (2)

→ S•••••• N••••••• • C••••••• I•••••••••Registered adviserregistration: current employment
Mar 16, 2018 to presentfactForm ADV
→ B• C• Z•••••• A•• C••••••Registered adviserregistration: previous registration
Feb 6, 2007 to Mar 16, 2018factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:ca89b78d-2c64-d7f5-0b2d-1775368f13a3
First observed: Feb 6, 2007
Last observed: Sep 14, 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.