DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)10 years in industry

S•••• P••••• K••••••

Advisor at E••••• J••••

ALVIN, TX

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Search this name across graphsid dfx:ria:194394e1-bcf8-1fa6-9b02-a329d8f6ee03

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 5:43 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 2
On other graphs: 0
Observed: Jun 30, 2016 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: E••••• J••••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Mar 1, 2016earliest registration or exam on IAPD
Years in industry: 10derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
E••••• J••••	National bd RIA	Apr 5, 2024	n/a	yes	ALVIN, TX	Current employment
E•••••• A••••••• G••••• L••	Bd affiliated wealth	Aug 18, 2023	Apr 8, 2024	no	GREENWOOD VILLAGE, CO\|Sarasota, FL	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
E•••••• A••••••• G••••• L••	E••••• J••••	Apr 8, 2024	Apr 5, 2024	-3	Firm change	Ibd to ibd
W•••••••• A•••••••• L••	E•••••• A••••••• G••••• L••	Feb 7, 2023	Aug 18, 2023

Relationships

Registered with (3)

→ E••••• J••••Registered adviserregistration: previous registration
Jun 30, 2016 to Jan 18, 2021factForm ADV
→ E•••••• A••••••• G••••• L••Registered adviserregistration: previous registration
Aug 18, 2023 to Apr 8, 2024factForm ADV
→ W•••••••• A•••••••• L••Registered adviserregistration: previous registration
Jan 15, 2021 to Feb 7, 2023factForm ADV

Dated events

Occurred
Apr 8, 2024
Advisor changed firm
S•••• P••••• K•••••• left E•••••• A••••••• G••••• L•• for E••••• J•••• (registered 2024-04-05)
Form ADVobserved 7 days ago
Occurred
Feb 7, 2023
Advisor changed firm
S•••• P••••• K•••••• left W•••••••• A•••••••• L•• for E•••••• A••••••• G••••• L•• (registered 2023-08-18)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:194394e1-bcf8-1fa6-9b02-a329d8f6ee03
First observed: Jun 30, 2016
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.