DFX Intelligence

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

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

C•••••• K• O••••••••

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

Southern Pines, NC

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Search this name across graphsid dfx:ria:f435e70c-53a0-84f4-a964-50e88d6d6996

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 11:12 AM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 3
On other graphs: 0
Observed: Jul 1, 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: C••••• I••••••••• A••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Jun 28, 2004earliest registration or exam on IAPD
Years in industry: 22derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 7

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••••• I••••••••• A••••••• L••	Bd affiliated wealth	Jun 3, 2026	n/a	yes	Southern Pines, NC	Current employment
C••••••••• F•••••••• N••••••	National bd RIA	Mar 17, 2026	Jun 2, 2026	no	DURHAM, NC	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C••••••••• F•••••••• N••••••	C••••• I••••••••• A••••••• L••	Jun 2, 2026	Jun 3, 2026	1	Firm change	Ibd to ibd
T•• P•••• W••••• M••••••••• L••	C••••••••• F•••••••• N••••••	Aug 14, 2025	Mar 17, 2026

Team moves

••• Locked

Team	Left	Joined	From	Kind
8032:105644:NC:2026-06-02	Jun 2, 2026	Jun 3, 2026	DURHAM, NC	Firm change
7691:326353:NC:2024-04-01	Apr 1, 2024	Mar 28, 2024	PINEHURST, NC	Firm change

Relationships

Registered with (8)

→ C••••• I••••••••• A••••••• L••Registered adviserregistration: current employment
Jun 3, 2026 to presentfactForm ADV
→ C••••••••• F•••••••• N••••••Registered adviserregistration: previous registration
Mar 17, 2026 to Jun 2, 2026factForm ADV
→ T•• P•••• W••••• M••••••••• L••Registered adviserregistration: previous registration
Mar 28, 2024 to Aug 14, 2025factForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••

Dated events

Occurred
Jun 2, 2026
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Aug 14, 2025
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Apr 1, 2024
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:f435e70c-53a0-84f4-a964-50e88d6d6996
First observed: Jul 1, 2004
Last observed: Sep 14, 2026 9 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.