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RIA / WealthAdvisordual registered (broker-dealer)22 years in industry

KEVIN XAVIER SMITH

Advisor at AUSTIN WEALTH MANAGEMENT, LLC

AUSTIN, TX

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Search this name across graphsid dfx:ria:e052299e-3479-cc84-87e9-dba0f8515aa9

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 2:01 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Aug 17, 2004 to Sep 14, 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: AUSTIN WEALTH MANAGEMENT, LLC
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: May 13, 2004earliest registration or exam on IAPD
Years in industry: 22derivedfrom the industry start date
Years at current firm: 11derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S66
First exam: May 13, 2004
First registration: Aug 17, 2004
Dual registered: yes, broker-dealer
IAPD individual key: 4762177

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
AUSTIN WEALTH MANAGEMENT, LLC	Independent wealth	Sep 25, 2014	n/a	yes	AUSTIN, TX	Current employment
TRIAD ADVISORS, LLC	Former SEC adviser	Nov 22, 2011	Oct 17, 2014	no	AUSTIN, TX	Previous registration
J. W. COLE ADVISORS, INC.	Bd affiliated wealth	Aug 10, 2009	Dec 9, 2011	no	AUSTIN, TX\|TAMPA, FL	Previous registration
NFP ADVISOR SERVICES, LLC	Former SEC adviser	Aug 17, 2004	Aug 5, 2009	no	AUSTIN, TX\|AUSTIN, TX	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
TRIAD ADVISORS, LLC	AUSTIN WEALTH MANAGEMENT, LLC	Oct 17, 2014	Sep 25, 2014	-22	Firm change	Other
J. W. COLE ADVISORS, INC.	TRIAD ADVISORS, LLC	Dec 9, 2011	Nov 22, 2011	-17	Firm change	Other
NFP ADVISOR SERVICES, LLC	J. W. COLE ADVISORS, INC.	Aug 5, 2009	Aug 10, 2009	5	Firm change	Other

Relationships

Registered with (4)

→ AUSTIN WEALTH MANAGEMENT, LLCRegistered adviserregistration: current employment
Sep 25, 2014 to presentfactForm ADV
→ TRIAD ADVISORS, LLCRegistered adviserregistration: previous registration
Nov 22, 2011 to Oct 17, 2014factForm ADV
→ J. W. COLE ADVISORS, INC.Registered adviserregistration: previous registration
Aug 10, 2009 to Dec 9, 2011factForm ADV
→ NFP ADVISOR SERVICES, LLCRegistered adviserregistration: previous registration
Aug 17, 2004 to Aug 5, 2009factForm ADV

Dated events

No dated event names this entity yet.