DFX Intelligence

K•••••• D••• 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 / WealthAdvisor28 years in industry

K•••••• D••• C•••••

Advisor at A••• A••••••• P•••••••

NEW YORK, NY | Austin, TX

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:cb073695-1bd4-44c5-3ba7-22a00e757060

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 1:37 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Sep 10, 2001 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: A••• A••••••• P•••••••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Sep 2, 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
A••• A••••••• P•••••••	Bd affiliated wealth	Jul 14, 2026	n/a	yes	NEW YORK, NY\|Austin, TX	Current employment
U••• C•••••• W••••• A•••••••• L••	Bd affiliated wealth	Jan 8, 2018	Jul 22, 2026	no	HOUSTON, TX\|Austin, TX

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
U••• C•••••• W••••• A•••••••• L••	A••• A••••••• P•••••••	Jul 22, 2026	Jul 14, 2026	-8	Bulk transfer	Ibd to ibd
C••••••••• F•••••••• N••••••	U••• C•••••• W••••• A•••••••• L••	Jul 13, 2017	Jan 8, 2018

Relationships

Registered with (4)

→ A••• A••••••• P•••••••Registered adviserregistration: current employment
Jul 14, 2026 to presentfactForm ADV
→ U••• C•••••• W••••• A•••••••• L••Registered adviserregistration: previous registration
Jan 8, 2018 to Jul 22, 2026factForm ADV
→ C••••••••• F•••••••• N••••••Registered adviserregistration: previous registration
Jun 2, 2016 to Jul 13, 2017factForm ADV
→ L•• F•••••••• L••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:cb073695-1bd4-44c5-3ba7-22a00e757060
First observed: Sep 10, 2001
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.