DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)17 years in industry

K••••••• L••• S•••••••••

Advisor at S••••• C•••••• M••••••••• L••

Oak Creek, WI | SAINT LOUIS, MO

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Search this name across graphsid dfx:ria:0bbe625c-f18d-9ea3-3b1f-01064c941d8c

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:30 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Oct 17, 2011 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: S••••• C•••••• M••••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Jul 1, 2009earliest registration or exam on IAPD
Years in industry: 17derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S••••• C•••••• M••••••••• L••	Independent wealth	Jul 1, 2026	n/a	yes	SAINT LOUIS, MO\|Oak Creek, WI	Current employment
L•••••• S•• I••••••••• A•••••••• L•••••	Bd affiliated wealth	Feb 1, 2019	Jul 7, 2026	no	Wauwatosa, WI\|ELMHURST, IL\|Wauwatosa, WI

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
L•••••• S•• I••••••••• A•••••••• L•••••	S••••• C•••••• M••••••••• L••	Jul 7, 2026	Jul 1, 2026	-6	Firm change	Ibd to RIA
S••••• C•••••• M••••••••• L••	L•••••• S•• I••••••••• A•••••••• L•••••	Feb 27, 2019	Feb 1, 2019

Team moves

••• Locked

Team	Left	Joined	From	Kind
122692:109701:MO:2019-02-27	Feb 27, 2019	Feb 1, 2019	SAINT LOUIS, MO	Firm change

Relationships

Registered with (2)

→ S••••• C•••••• M••••••••• L••Registered adviserregistration: previous registration
Oct 17, 2011 to Feb 27, 2019factForm ADV
→ L•••••• S•• I••••••••• A•••••••• L•••••Registered adviserregistration: previous registration
Feb 1, 2019 to Jul 7, 2026factForm ADV

Dated events

Occurred
Jul 7, 2026
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:0bbe625c-f18d-9ea3-3b1f-01064c941d8c
First observed: Oct 17, 2011
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.