DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)18 years in industry

S•••••• A• K•••••

Advisor at H••••• M••• I••••••••• I•••

Greenville, NC | SPRINGFIELD, IL

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Search this name across graphs

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 9:11 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 0
On other graphs: 0
Observed: Jan 28, 2008 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: H••••• M••• I••••••••• I•••
Current firm class: no raum reportedderived
Book size: not public••• Locked
Industry start: Jan 28, 2008earliest registration or exam on IAPD
Years in industry: 18derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 6

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
H••••• M••• I••••••••• I•••	No RAUM reported	Jun 30, 2026	n/a	yes	SPRINGFIELD, IL\|Greenville, NC	Current employment
C•••••••• I••••••••• R••••••• A•••••••• I•••	Bd affiliated wealth	Sep 21, 2018	Feb 7, 2020	no	Kinston, NC

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C•••••••• I••••••••• R••••••• A•••••••• I•••	H••••• M••• I••••••••• I•••	Feb 7, 2020	Jun 30, 2026	2,335	Firm change after gap	Other
B••• S••••••••• L••	C•••••••• I••••••••• R••••••• A•••••••• I•••	Aug 24, 2018	Sep 21, 2018

Relationships

Registered with (7)

→ H••••• M••• I••••••••• I•••Registered adviserregistration: current employment
Jun 30, 2026 to presentfactForm ADV
→ C•••••••• I••••••••• R••••••• A•••••••• I•••Registered adviserregistration: previous registration
Sep 21, 2018 to Feb 7, 2020factForm ADV
→ B••• S••••••••• L••Registered adviserregistration: previous registration
Jan 2, 2018 to Aug 24, 2018factForm ADV
→ B••• I••••••••• S•••••••• I•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Jan 28, 2008
Last observed: Sep 15, 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.