DFX Intelligence

K•••••• D••••• E••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisor12 years in industry

K•••••• D••••• E••••

Advisor at S••••• P•••••••• L••

SPRING CITY, PA

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 5:43 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: May 13, 2014 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••••• P•••••••• L••
Current firm class: asset managerderived
Book size: not public••• Locked
Industry start: May 1, 2014earliest registration or exam on IAPD
Years in industry: 12derivedfrom 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•••••••• L••	Asset manager	Dec 2, 2025	n/a	yes	SPRING CITY, PA	Current employment
I••••••••• F•••••••• G••••• L••	Bd affiliated wealth	Jan 5, 2016	May 16, 2019	no	Exton, PA\|SAN DIEGO, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
I••••••••• F•••••••• G••••• L••	S••••• P•••••••• L••	May 16, 2019	Dec 2, 2025	2,392	Firm change after gap	RIA to RIA
S••••• P•••••••• L••	I••••••••• F•••••••• G••••• L••	Nov 29, 2017	Jan 5, 2016

Relationships

Registered with (2)

→ S••••• P•••••••• L••Registered adviserregistration: previous registration
May 13, 2014 to Nov 29, 2017factForm ADV
→ I••••••••• F•••••••• G••••• L••Registered adviserregistration: previous registration
Jan 5, 2016 to May 16, 2019factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: May 13, 2014
Last observed: Sep 14, 2026 9 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.