J••••• K• L••••

Advisor at S•••••• P••••••• I••••••••• A•••••••• L••

Sarasota, FL | STAMFORD, CT

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:21f912bc-9acd-a38d-1d5b-54e6116be43c

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 9:12 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Aug 2, 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•••••• P••••••• I••••••••• A•••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Jul 29, 2011earliest registration or exam on IAPD
Years in industry: 15derivedfrom 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•••••• P••••••• I••••••••• A•••••••• L••	Bd affiliated wealth	Jun 5, 2026	n/a	yes	Sarasota, FL\|STAMFORD, CT\|Sarasota, FL	Current employment
U•• F•••••••• S••••••• I•••	Wirehouse	Sep 13, 2012	Jun 16, 2026	no	SARASOTA, FL

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
U•• F•••••••• S••••••• I•••	S•••••• P••••••• I••••••••• A•••••••• L••	Jun 16, 2026	Jun 5, 2026	-11	Firm change	Wirehouse to ibd
M••••• S••••••	U•• F•••••••• S••••••• I•••	Sep 21, 2012	Sep 13, 2012

Team moves

••• Locked

Team	Left	Joined	From	Kind
8174:283004:FL:2026-06-16	Jun 16, 2026	Jun 5, 2026	SARASOTA, FL	Firm change

Relationships

Registered with (3)

→ S•••••• P••••••• I••••••••• A•••••••• L••Registered adviserregistration: current employment
Jun 5, 2026 to presentfactForm ADV
→ U•• F•••••••• S••••••• I•••Registered adviserregistration: previous registration
Sep 13, 2012 to Jun 16, 2026factForm ADV
→ M••••• S••••••Registered adviserregistration: previous registration
Aug 2, 2011 to Sep 21, 2012factForm ADV

Dated events

Occurred
Jun 16, 2026
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:21f912bc-9acd-a38d-1d5b-54e6116be43c
First observed: Aug 2, 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.