DFX Intelligence

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

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthAdvisordual registered (broker-dealer)20 years in industry

C•••• R•••• K•••

Advisor at U•• F•••••••• S•••••••• I•••

Leawood, KS | Salt Lake City, UT

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:db29716c-2e8a-0547-ad67-f3004e783001

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 9:00 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 1
On other graphs: 0
Observed: Nov 21, 2014 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: U•• F•••••••• S•••••••• I•••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Jun 1, 2006earliest registration or exam on IAPD
Years in industry: 20derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
U•• F•••••••• S•••••••• I•••	Independent wealth	May 22, 2024	n/a	yes	Leawood, KS\|Salt Lake City, UT	Current employment
W•••• F•••• A•••••••	Wirehouse	Nov 21, 2014	Feb 13, 2024	no	MINNEAPOLIS, MN\|SALT LAKE CITY, UT\|MINNEAPOLIS, MN\|OGDEN, UT\|TARPON SPRINGS, FL

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
W•••• F•••• A•••••••	U•• F•••••••• S•••••••• I•••	Feb 13, 2024	May 22, 2024	99	Firm change	Wirehouse to RIA

Relationships

Registered with (2)

→ U•• F•••••••• S•••••••• I•••Registered adviserregistration: current employment
May 22, 2024 to presentfactForm ADV
→ W•••• F•••• A•••••••Registered adviserregistration: previous registration
Nov 21, 2014 to Feb 13, 2024factForm ADV

Dated events

Occurred
Feb 13, 2024
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:db29716c-2e8a-0547-ad67-f3004e783001
First observed: Nov 21, 2014
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.