DFX Intelligence

S••••••• E• G•••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisor42 years in industry

S••••••• E• G•••

Advisor at K•••••••• W••••• A•••••••• L••

Denver, CO | SAN DIEGO, CA

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 2:50 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 2
On other graphs: 0
Observed: Jan 1, 1999 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: K•••••••• W••••• A•••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Mar 17, 1984earliest registration or exam on IAPD
Years in industry: 42derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
K•••••••• W••••• A•••••••• L••	Bd affiliated wealth	Nov 7, 2025	n/a	yes	Denver, CO\|SAN DIEGO, CA	Current employment
D••• D••••••• • C••	Independent wealth	Jun 27, 2024	Sep 22, 2025	no	Biddeford Pool, ME\|DENVER, CO\|COLORADO SPRINGS, CO

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
D••• D••••••• • C••	K•••••••• W••••• A•••••••• L••	Sep 22, 2025	Nov 7, 2025	46	Firm change	RIA to ibd
M••••• S••••••	D••• D••••••• • C••	Jun 13, 2024	Jun 27, 2024

Relationships

Registered with (5)

→ K•••••••• W••••• A•••••••• L••Registered adviserregistration: current employment
Nov 7, 2025 to presentfactForm ADV
→ D••• D••••••• • C••Registered adviserregistration: previous registration
Jun 27, 2024 to Sep 22, 2025factForm ADV
→ M••••• S••••••Registered adviserregistration: previous registration
Jun 1, 2009 to Jun 13, 2024factForm ADV
→ M••••• S•••••• • C•• L••Registered adviser

Dated events

Order

Occurred
22 Sep 2025
Advisor changed firm
••• Locked
Form ADV
Occurred
13 Jun 2024
Advisor changed firm
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Jan 1, 1999
Last observed: Sep 14, 2026 10 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.