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K•••• J••• O•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)31 years in industry

K•••• J••• O•••••

Advisor at S•••••• W••••• P•••••••• L••

BEACHWOOD, OH

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Search this name across graphsid dfx:ria:1e285b35-35d5-c050-199d-6dc6ad22b9bc

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 12:54 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Jul 28, 1997 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: S•••••• W••••• P•••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Aug 11, 1995earliest registration or exam on IAPD
Years in industry: 31derivedfrom the industry start date
Years at current firm: 15derivedfrom the current registration's begin date
Prior firms

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
S•••••• W••••• P•••••••• L••	Bd affiliated wealth	Nov 15, 2010	n/a	yes	BEACHWOOD, OH	Current employment
M••••• S••••••	Wirehouse	Jun 1, 2009	Nov 18, 2010	no	BEACHWOOD, OH

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
M••••• S••••••	S•••••• W••••• P•••••••• L••	Nov 18, 2010	Nov 15, 2010	-3	Firm change	Other
M••••• S•••••• • C•• L••	M••••• S••••••	Jun 1, 2009

Relationships

Registered with (5)

→ S•••••• W••••• P•••••••• L••Registered adviserregistration: current employment
Nov 15, 2010 to presentfactForm ADV
→ M••••• S••••••Registered adviserregistration: previous registration
Jun 1, 2009 to Nov 18, 2010factForm ADV
→ M••••• S•••••• • C•• L••Registered adviserregistration: previous registration
Mar 17, 2008 to Jun 1, 2009factForm ADV
→ U•• F•••••••• S••••••• I•••Registered adviser

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:1e285b35-35d5-c050-199d-6dc6ad22b9bc
First observed: Jul 28, 1997
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.