DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)21 years in industry

K•••• L••• S•••••••••

Advisor at A•••• A••••••• L••

SAINT CHARLES, MO

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Search this name across graphsid dfx:ria:1d070c8e-5abe-22c3-2765-77c160695903

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 12:22 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Aug 20, 2008 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: A•••• A••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Jul 15, 2005earliest registration or exam on IAPD
Years in industry: 21derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
A•••• A••••••• L••	Independent wealth	Oct 30, 2024	n/a	yes	SAINT CHARLES, MO	Current employment
C•••••••• I••••••••• R••••••• A•••••••• I•••	Bd affiliated wealth	Jun 21, 2012	Jul 14, 2025	no	SAINT CHARLES, MO\|SAINT CHARLES, MO

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C•••••••• I••••••••• R••••••• A•••••••• I•••	A•••• A••••••• L••	Jul 14, 2025	Oct 30, 2024	-257	Firm change after gap	Other
S••••• F•••••••• S•••••••• I•••	C•••••••• I••••••••• R••••••• A•••••••• I•••	Jun 19, 2012	Jun 21, 2012

Team moves

••• Locked

Team	Left	Joined	From	Kind
134139:330006:MO:2025-07-14	Jul 14, 2025	Oct 30, 2024	SAINT CHARLES, MO	Firm change after gap

Relationships

Registered with (4)

→ A•••• A••••••• L••Registered adviserregistration: current employment
Oct 30, 2024 to presentfactForm ADV
→ C•••••••• I••••••••• R••••••• A•••••••• I•••Registered adviserregistration: previous registration
Jun 21, 2012 to Jul 14, 2025factForm ADV
→ S••••• F•••••••• S•••••••• I•••Registered adviserregistration: previous registration
Nov 1, 2011 to Jun 19, 2012factForm ADV
→ L•• F•••••••• L••

Dated events

Occurred
Jul 14, 2025
Advisor changed firm
K•••• L••• S••••••••• left C•••••••• I••••••••• R••••••• A•••••••• I••• for A•••• A••••••• L•• (registered 2024-10-30)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:1d070c8e-5abe-22c3-2765-77c160695903
First observed: Aug 20, 2008
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.