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D•••• H•••••••• A••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)42 years in industry

D•••• H•••••••• A••••••

Advisor at R•••••• J•••• • A••••••••• I•••

BIRMINGHAM, AL | Birmingham, AL

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Search this name across graphsid dfx:ria:fe887de9-9119-39a7-789f-0878f11e092d

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 11:47 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: May 15, 1998 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: R•••••• J•••• • A••••••••• I•••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Apr 20, 1984earliest registration or exam on IAPD
Years in industry: 42derivedfrom the industry start date
Years at current firm: 13derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
R•••••• J•••• • A••••••••• I•••	National bd RIA	Feb 13, 2013	n/a	yes	BIRMINGHAM, AL\|Birmingham, AL	Current employment
M••••• K••••• • C••••••• L••	Former SEC adviser	Jul 19, 2007	Feb 13, 2013	no	BIRMINGHAM, AL

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M••••• K••••• • C••••••• L••	R•••••• J•••• • A••••••••• I•••	Feb 13, 2013	Feb 13, 2013	0	Bulk transfer	Other
A• G• E•••••• • S•••• I•••	M••••• K••••• • C••••••• L••	Jun 12, 2007	Jul 19, 2007

Relationships

Registered with (3)

→ R•••••• J•••• • A••••••••• I•••Registered adviserregistration: current employment
Feb 13, 2013 to presentfactForm ADV
→ M••••• K••••• • C••••••• L••Registered adviserregistration: previous registration
Jul 19, 2007 to Feb 13, 2013factForm ADV
→ A• G• E•••••• • S•••• I•••Registered adviserregistration: previous registration
May 15, 1998 to Jun 12, 2007factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:fe887de9-9119-39a7-789f-0878f11e092d
First observed: May 15, 1998
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.