DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Planner|Chartered Financial Consultantdual registered (broker-dealer)9 years in industry

S••••••• K•• F•••••

Advisor at L••••• F••••••••• I•••

Louisville, KY

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Search this name across graphsid dfx:ria:0ef61acd-47eb-6716-bed7-59ae1731450b

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 2:03 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 3
On other graphs: 0
Observed: Jan 18, 2017 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: L••••• F••••••••• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Oct 1, 2016earliest registration or exam on IAPD
Years in industry: 9derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 6

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
L••••• F••••••••• I•••	Bd affiliated wealth	Aug 15, 2025	n/a	yes	Louisville, KY	Current employment
L••• K••• • C••••••	Former SEC adviser	Aug 14, 2023	Aug 14, 2025	no	CINCINNATI, OH\|CINCINNATI, OH\|LOUISVILLE, KY

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
L••• K••• • C••••••	L••••• F••••••••• I•••	Aug 14, 2025	Aug 15, 2025	1	Firm change	RIA to RIA
P•• W••••• M•••••••••	L••• K••• • C••••••	Aug 15, 2023	Aug 14, 2023

Relationships

Registered with (6)

→ L••••• F••••••••• I•••Registered adviserregistration: current employment
Aug 15, 2025 to presentfactForm ADV
→ L••• K••• • C••••••Registered adviserregistration: previous registration
Aug 14, 2023 to Aug 14, 2025factForm ADV
→ P•• W••••• M•••••••••Registered adviserregistration: previous registration
Aug 18, 2022 to Aug 15, 2023factForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••

Dated events

Occurred
Aug 14, 2025
Advisor changed firm
S••••••• K•• F••••• left L••• K••• • C•••••• for L••••• F••••••••• I••• (registered 2025-08-15)
Form ADVobserved 7 days ago
Occurred
Aug 15, 2023
Advisor changed firm
S••••••• K•• F••••• left P•• W••••• M••••••••• for L••• K••• • C•••••• (registered 2023-08-14)
Form ADVobserved 7 days ago
Occurred
Aug 11, 2022
Advisor changed firm
S••••••• K•• F••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for P•• W••••• M••••••••• (registered 2022-08-18)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:0ef61acd-47eb-6716-bed7-59ae1731450b
First observed: Jan 18, 2017
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.