DFX Intelligence

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

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RIA / WealthAdvisorChartered Financial Analystdual registered (broker-dealer)19 years in industry

B•••• C••••••••• P••••••

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

••• Locked

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Search this name across graphsid dfx:ria:d88dc630-c2c6-78af-328d-0e198449764d

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 11:25 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Nov 20, 2013 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: Apr 27, 2007earliest registration or exam on IAPD
Years in industry: 19derivedfrom the industry start date
Years at current firm: 6derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
K••••• A••••••• S•••••••• L••	Bd affiliated wealth	Apr 27, 2020	n/a	yes	charlotte, NC\|AUSTIN, TX\|Fort Mill, SC	Current employment
C•••••••	Institutional manager	Apr 15, 2015	Mar 31, 2020	no	RALEIGH, NC

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C•••••••	K••••• A••••••• S•••••••• L••	Mar 31, 2020	Apr 27, 2020	27	Firm change	Other
C••••••• F•••••••• A•••••••	C•••••••	Apr 22, 2015	Apr 15, 2015

Relationships

Registered with (4)

→ K••••• A••••••• S•••••••• L••Registered adviserregistration: current employment
Apr 27, 2020 to presentfactForm ADV
→ C•••••••Registered adviserregistration: previous registration
Apr 15, 2015 to Mar 31, 2020factForm ADV
→ C••••••• F•••••••• A•••••••Registered adviserregistration: previous registration
Feb 11, 2015 to Apr 22, 2015factForm ADV
→ L•••••• I••••••••• A•••••••• L••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:d88dc630-c2c6-78af-328d-0e198449764d
First observed: Nov 20, 2013
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.