DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)29 years in industry

K••• A••• U•••••••

Advisor at S•••••• N••••••• • C••••••• I•••••••••

BRYAN, TX

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Search this name across graphsid dfx:ria:f42243c9-7da5-8356-416c-58636b1b8c1c

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:17 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Aug 22, 2002 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: S•••••• N••••••• • C••••••• I•••••••••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Mar 21, 1997earliest registration or exam on IAPD
Years in industry: 29derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S•••••• N••••••• • C••••••• I•••••••••	National bd RIA	Apr 14, 2021	n/a	yes	BRYAN, TX	Current employment
U•• F•••••••• S••••••• I•••	Wirehouse	Apr 17, 2009	Apr 23, 2021	no	College Station, TX\|Bryan, TX

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
U•• F•••••••• S••••••• I•••	S•••••• N••••••• • C••••••• I•••••••••	Apr 23, 2021	Apr 14, 2021	-9	Firm change	Wirehouse to ibd
W•••• F•••• A•••••••	U•• F•••••••• S••••••• I•••	Apr 21, 2009	Apr 17, 2009

Relationships

Registered with (4)

→ S•••••• N••••••• • C••••••• I•••••••••Registered adviserregistration: current employment
Apr 14, 2021 to presentfactForm ADV
→ U•• F•••••••• S••••••• I•••Registered adviserregistration: previous registration
Apr 17, 2009 to Apr 23, 2021factForm ADV
→ W•••• F•••• A•••••••Registered adviserregistration: previous registration
Jan 1, 2008 to Apr 21, 2009factForm ADV
→ A• G• E•••••• • S•••• I•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:f42243c9-7da5-8356-416c-58636b1b8c1c
First observed: Aug 22, 2002
Last observed: Sep 14, 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.