DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Planner32 years in industry

L•••• K••••••• C•••••••

Advisor at S••••• W••••• M•••••••••

ROCKFORD, IL | Satellite Beach, FL

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Search this name across graphsid dfx:ria:3faa784d-5fce-f8ee-0f6a-bdb45e4c0eae

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 11:54 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Oct 12, 2001 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••••• M•••••••••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Mar 1, 1994earliest registration or exam on IAPD
Years in industry: 32derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S••••• W••••• M•••••••••	Independent wealth	May 28, 2024	n/a	yes	Satellite Beach, FL\|ROCKFORD, IL	Current employment
F•••••••• F••••••••	Former SEC adviser	Jun 10, 2009	Jul 1, 2024	no	SATELLITE BEACH, FL

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
F•••••••• F••••••••	S••••• W••••• M•••••••••	Jul 1, 2024	May 28, 2024	-34	Firm change after gap	Other

Team moves

••• Locked

Team	Left	Joined	From	Kind
111044:107271:FL:2024-07-01	Jul 1, 2024	May 28, 2024	SATELLITE BEACH, FL	Firm change after gap

Relationships

Registered with (2)

→ S••••• W••••• M•••••••••Registered adviserregistration: current employment
May 28, 2024 to presentfactForm ADV
→ F•••••••• F••••••••Registered adviserregistration: previous registration
Jun 10, 2009 to Jul 1, 2024factForm ADV

Dated events

Occurred
Jul 1, 2024
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:3faa784d-5fce-f8ee-0f6a-bdb45e4c0eae
First observed: Oct 12, 2001
Last observed: Sep 15, 2026 7 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.