DFX Intelligence

K•••••• J•• D••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)28 years in industry

K•••••• J•• D••••

Advisor at C••••••• M••••••••• I••••••••• A•••••••• L••

BOSTON, MA | WAXHAW, NC

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Search this name across graphsid dfx:ria:df1b8e76-b3d5-f9a1-28b7-0187c99ded92

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:36 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Nov 9, 2006 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: C••••••• M••••••••• I••••••••• A•••••••• L••
Current firm class: asset managerderived
Book size: not public••• Locked
Industry start: Feb 11, 1998earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 16derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••••••• M••••••••• I••••••••• A•••••••• L••	Asset manager	May 1, 2010	n/a	yes	WAXHAW, NC\|BOSTON, MA	Current employment
B••• A•••••••• L••	Former SEC adviser	Nov 9, 2006	May 1, 2010	no	CHARLOTTE, NC\|WAXHAW, NC\|WAXHAW, NC

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
B••• A•••••••• L••	C••••••• M••••••••• I••••••••• A•••••••• L••	May 1, 2010	May 1, 2010	0	Bulk transfer	Other

Relationships

Registered with (2)

→ C••••••• M••••••••• I••••••••• A•••••••• L••Registered adviserregistration: current employment
May 1, 2010 to presentfactForm ADV
→ B••• A•••••••• L••Registered adviserregistration: previous registration
Nov 9, 2006 to May 1, 2010factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:df1b8e76-b3d5-f9a1-28b7-0187c99ded92
First observed: Nov 9, 2006
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.