DFX Intelligence

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

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RIA / WealthAdvisorChartered Financial Consultantdual registered (broker-dealer)29 years in industry

R••••• K•• C•••••

Advisor at C•••••• S••••• • C••• I•••

Cumming, GA | Franklin, TN

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Search this name across graphsid dfx:ria:ccfd371f-f2d6-4aeb-a350-f80a1bd4d664

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 1:57 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Mar 28, 2003 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•••••• S••••• • C••• I•••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Aug 4, 1997earliest registration or exam on IAPD
Years in industry: 29derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C•••••• S••••• • C••• I•••	National bd RIA	Sep 23, 2021	n/a	yes	Franklin, TN\|Cumming, GA	Current employment
T• A••••••••• I•••	Former SEC adviser	Feb 27, 2018	Sep 22, 2021	no	Byron, GA\|Glen Allen, VA\|GREENVILLE, SC\|Byron, GA\|Westlake, TX\|Atlanta, GA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
T• A••••••••• I••••••••• M••••••••• L••	T• A••••••••• I•••	Sep 22, 2021	Feb 27, 2018	-1,303	Channel change	Other
T• A••••••••• I•••	C•••••• S••••• • C••• I•••	Sep 22, 2021	Sep 23, 2021

Relationships

Registered with (5)

→ C•••••• S••••• • C••• I•••Registered adviserregistration: previous registration
Mar 28, 2003 to Jul 30, 2012factForm ADV
→ T• A••••••••• I••••••••• M••••••••• L••Registered adviserregistration: previous registration
Feb 26, 2018 to Sep 22, 2021factForm ADV
→ T• A••••••••• I•••Registered adviserregistration: previous registration
Feb 27, 2018 to Sep 22, 2021factForm ADV
→ S•••••••• I••••••••• M•••••••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:ccfd371f-f2d6-4aeb-a350-f80a1bd4d664
First observed: Mar 28, 2003
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.