DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Planner21 years in industry

K••• E••••• L•••••••

Advisor at S•• W••••• A•••••••• L••

Mishawaka, IN | PARSIPPANY, NJ

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Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 11:42 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: May 14, 2013 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•• W••••• A•••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Feb 12, 2005earliest registration or exam on IAPD
Years in industry: 21derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S•• W••••• A•••••••• L••	Independent wealth	Mar 19, 2026	n/a	yes	PARSIPPANY, NJ\|Mishawaka, IN	Current employment
F•••• C•••••• A••••••• S•••••••	Bd affiliated wealth	Dec 15, 2015	Jul 11, 2018	no	FORT WORTH, TX

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
F•••• C•••••• A••••••• S•••••••	S•• W••••• A•••••••• L••	Jul 11, 2018	Mar 19, 2026	2,808	Firm change after gap	Ibd to RIA
F•••• C•••••• F•••••••• P•••••••• I•••	F•••• C•••••• A••••••• S•••••••	Dec 15, 2015	Dec 15, 2015

Relationships

Registered with (4)

→ S•• W••••• A•••••••• L••Registered adviserregistration: current employment
Mar 19, 2026 to presentfactForm ADV
→ F•••• C•••••• A••••••• S•••••••Registered adviserregistration: previous registration
Dec 15, 2015 to Jul 11, 2018factForm ADV
→ F•••• C•••••• F•••••••• P•••••••• I•••Registered adviserregistration: previous registration
Jul 14, 2015 to Dec 15, 2015factForm ADV
→ L•••• F••• A••••••• S•••••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: May 14, 2013
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.