DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)32 years in industry

K•••• C•••••• K•••

Advisor at T••••• A••••••• S•••••••• I•••

GREENSBORO, NC

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:40 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Mar 31, 2009 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: T••••• A••••••• S•••••••• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Jun 21, 1994earliest registration or exam on IAPD
Years in industry: 32derivedfrom the industry start date
Years at current firm: 10derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
T••••• A••••••• S•••••••• I•••	Bd affiliated wealth	Sep 13, 2016	n/a	yes	GREENSBORO, NC	Current employment
W•••• F•••• A•••••••	Wirehouse	Mar 31, 2009	May 2, 2016	no	MINNEAPOLIS, MN\|GREENSBORO, NC\|GREENSBORO, NC\|CHARLOTTE, NC\|GREENSBORO, NC\|CHARLOTTE, NC\|WINSTON SALEM, NC\|GREENSBORO, NC

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
W•••• F•••• A•••••••	T••••• A••••••• S•••••••• I•••	May 2, 2016	Sep 13, 2016	134	Firm change	Wirehouse to new firm

Team moves

••• Locked

Team	Left	Joined	From	Kind
19616:283390:NC:2016-05-02	May 2, 2016	Sep 13, 2016	GREENSBORO, NC	Firm change

Relationships

Registered with (2)

→ T••••• A••••••• S•••••••• I•••Registered adviserregistration: current employment
Sep 13, 2016 to presentfactForm ADV
→ W•••• F•••• A•••••••Registered adviserregistration: previous registration
Mar 31, 2009 to May 2, 2016factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Mar 31, 2009
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.