DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)24 years in industry

D•••• K•••••• C•••

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

SAN ANTONIO, TX | 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:31c37722-0b0b-12aa-5f33-420c48e50558

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 4:06 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Oct 10, 2002 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••••••• I••••••••• A•••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: May 17, 2002earliest registration or exam on IAPD
Years in industry: 24derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S•••••• P••••••• I••••••••• A•••••••• L••	Bd affiliated wealth	Jul 3, 2022	n/a	yes	STAMFORD, CT\|SAN ANTONIO, TX\|SAN ANTONIO, TX	Current employment
R•••••• J•••• • A••••••••• I•••	National bd RIA	Jul 9, 2018	Jul 21, 2022	no	SAN ANTONIO, TX\|SAN ANTONIO, TX\|BOERNE, TX

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
R•••••• J•••• • A••••••••• I•••	S•••••• P••••••• I••••••••• A•••••••• L••	Jul 21, 2022	Jul 3, 2022	-18	Firm change	Ibd to ibd
W•••• F•••• A•••••••	R•••••• J•••• • A••••••••• I•••	Jul 12, 2018	Jul 9, 2018

Team moves

••• Locked

Team	Left	Joined	From	Kind
705:283004:TX:2022-06-30	Jul 21, 2022	Jul 3, 2022	BOERNE, TX	Firm change
19616:705:TX:2018-07-12	Jul 12, 2018	Jul 9, 2018	SAN ANTONIO, TX	Firm change

Relationships

Registered with (4)

→ S•••••• P••••••• I••••••••• A•••••••• L••Registered adviserregistration: current employment
Jul 3, 2022 to presentfactForm ADV
→ R•••••• J•••• • A••••••••• I•••Registered adviserregistration: previous registration
Jul 9, 2018 to Jul 21, 2022factForm ADV
→ W•••• F•••• A•••••••Registered adviserregistration: previous registration
Jul 1, 2003 to Jul 12, 2018factForm ADV
→ P••••••••• E••••• G••••• L••

Dated events

Occurred
Jul 21, 2022
Advisor changed firm
D•••• K•••••• C••• left R•••••• J•••• • A••••••••• I••• for S•••••• P••••••• I••••••••• A•••••••• L•• (registered 2022-07-03)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:31c37722-0b0b-12aa-5f33-420c48e50558
First observed: Oct 10, 2002
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.