DFX Intelligence

F•••• P•••••• H•••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)34 years in industry

F•••• P•••••• H•••

Advisor at K••••• A••••••• S•••••••• L••

AUSTIN, TX | Louisville, KY

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Search this name across graphsid dfx:ria:d50d0515-3622-b973-5a4d-3dc1a2db1bf5

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 9:38 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Feb 12, 2007 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: K••••• A••••••• S•••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Jan 27, 1992earliest registration or exam on IAPD
Years in industry: 34derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
K••••• A••••••• S•••••••• L••	Bd affiliated wealth	Nov 16, 2018	n/a	yes	AUSTIN, TX\|Louisville, KY	Current employment
M•• A•••••••	Former SEC adviser	Apr 30, 2014	May 7, 2019	no	LOUISVILLE, KY	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M•• A•••••••	K••••• A••••••• S•••••••• L••	May 7, 2019	Nov 16, 2018	-172	Firm change after gap	RIA to ibd
L•• F•••••••• L••	M•• A•••••••	Dec 3, 2015	Apr 30, 2014

Team moves

••• Locked

Team	Left	Joined	From	Kind
166411:283330:KY:2019-05-07	May 7, 2019	Nov 16, 2018	LOUISVILLE, KY	Firm change after gap
6413:166411:KY:2015-12-03	Dec 3, 2015	Apr 30, 2014	LOUISVILLE, KY	Firm change after gap

Relationships

Registered with (3)

→ K••••• A••••••• S•••••••• L••Registered adviserregistration: current employment
Nov 16, 2018 to presentfactForm ADV
→ M•• A•••••••Registered adviserregistration: previous registration
Apr 30, 2014 to May 7, 2019factForm ADV
→ L•• F•••••••• L••Registered adviserregistration: previous registration
Feb 12, 2007 to Dec 3, 2015factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:d50d0515-3622-b973-5a4d-3dc1a2db1bf5
First observed: Feb 12, 2007
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.