DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)12 years in industry

C•••••• K••••

Advisor at N•••••• A•••••••

NEW ORLEANS, LA | Dallas, TX

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Search this name across graphsid dfx:ria:f410b33c-1af2-8427-b555-0b966db62591

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:59 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 3
On other graphs: 0
Observed: Nov 10, 2021 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: N•••••• A•••••••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Aug 1, 2014earliest registration or exam on IAPD
Years in industry: 12derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
N•••••• A•••••••	Bd affiliated wealth	Mar 6, 2026	n/a	yes	NEW ORLEANS, LA\|Dallas, TX	Current employment
E•••••••• W••••• A•••••••	Independent wealth	Aug 21, 2025	Dec 15, 2025	no	Plano, TX	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
E•••••••• W••••• A•••••••	N•••••• A•••••••	Dec 15, 2025	Mar 6, 2026	81	Firm change	RIA to ibd
C•••••• S••••• • C••• I•••	E•••••••• W••••• A•••••••	Aug 12, 2025	Aug 21, 2025

Team moves

••• Locked

Team	Left	Joined	From	Kind
5393:326535:TX:2025-08-12	Aug 12, 2025	Aug 21, 2025	WESTLAKE, TX	Firm change

Relationships

Registered with (4)

→ N•••••• A•••••••Registered adviserregistration: current employment
Mar 6, 2026 to presentfactForm ADV
→ E•••••••• W••••• A•••••••Registered adviserregistration: previous registration
Aug 21, 2025 to Dec 15, 2025factForm ADV
→ C•••••• S••••• • C••• I•••Registered adviserregistration: previous registration
Jan 12, 2023 to Aug 12, 2025factForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••

Dated events

Occurred
Dec 15, 2025
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Aug 12, 2025
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Nov 28, 2022
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:f410b33c-1af2-8427-b555-0b966db62591
First observed: Nov 10, 2021
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.