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S••••• K•• M••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)37 years in industry

S••••• K•• M••••••

Advisor at V••••• I••••••••• A•••••••• L••

HARTFORD, CT | KANSAS CITY, MO

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Search this name across graphsid dfx:ria:35b1a2e3-54cb-840e-02e0-6a23cdd8cb6e

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 12:13 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Aug 28, 2015 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: V••••• I••••••••• A•••••••• L••
Current firm class: asset managerderived
Book size: not public••• Locked
Industry start: Sep 8, 1989earliest registration or exam on IAPD
Years in industry: 37derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
V••••• I••••••••• A•••••••• L••	Asset manager	Nov 19, 2018	n/a	yes	KANSAS CITY, MO\|HARTFORD, CT	Current employment
V••••• C•••••• A•••••••• L••	Other adviser	Aug 28, 2015	Nov 19, 2018	no	KANSAS CITY, MO\|HARTFORD, CT

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
V••••• C•••••• A•••••••• L••	V••••• I••••••••• A•••••••• L••	Nov 19, 2018	Nov 19, 2018	0	Channel change	Other

Team moves

••• Locked

Team	Left	Joined	From	Kind
107346:106982:CT:2018-11-19	Nov 19, 2018	Nov 19, 2018	HARTFORD, CT	Firm change

Relationships

Registered with (2)

→ V••••• I••••••••• A•••••••• L••Registered adviserregistration: current employment
Nov 19, 2018 to presentfactForm ADV
→ V••••• C•••••• A•••••••• L••Registered adviserregistration: previous registration
Aug 28, 2015 to Nov 19, 2018factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:35b1a2e3-54cb-840e-02e0-6a23cdd8cb6e
First observed: Aug 28, 2015
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.