K•••• F•••••

Advisor at S•••••••• A••••••• L••

MONTEREY, CA | SANTA CRUZ, CA

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:44c83008-57c7-a3dd-91b0-a2028afec0ba

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 1:24 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 2
On other graphs: 0
Observed: Jun 30, 2020 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•••••••• A••••••• L••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Oct 1, 2015earliest registration or exam on IAPD
Years in industry: 10derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S•••••••• A••••••• L••	National bd RIA	Jun 15, 2026	n/a	yes	SANTA CRUZ, CA\|MONTEREY, CA	Current employment
T•• B•••••• G•••• W••••• A•••••••• L••	Other adviser	Jan 5, 2022	Apr 18, 2025	no	TAMPA, FL\|IRVINE, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
T•• B•••••• G•••• W••••• A•••••••• L••	S•••••••• A••••••• L••	Apr 18, 2025	Jun 15, 2026	423	Firm change after gap	Other
E•••••••• A•••••••• L••	T•• B•••••• G•••• W••••• A•••••••• L••	Jan 11, 2022	Jan 5, 2022

Relationships

Registered with (3)

→ S•••••••• A••••••• L••Registered adviserregistration: current employment
Jun 15, 2026 to presentfactForm ADV
→ T•• B•••••• G•••• W••••• A•••••••• L••Registered adviserregistration: previous registration
Jan 5, 2022 to Apr 18, 2025factForm ADV
→ E•••••••• A•••••••• L••Registered adviserregistration: previous registration
Jun 30, 2020 to Jan 11, 2022factForm ADV

Dated events

Occurred
Apr 18, 2025
Advisor changed firm
K•••• F••••• left T•• B•••••• G•••• W••••• A•••••••• L•• for S•••••••• A••••••• L•• (registered 2026-06-15)
Form ADVobserved 7 days ago
Occurred
Jan 11, 2022
Advisor changed firm
K•••• F••••• left E•••••••• A•••••••• L•• for T•• B•••••• G•••• W••••• A•••••••• L•• (registered 2022-01-05)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:44c83008-57c7-a3dd-91b0-a2028afec0ba
First observed: Jun 30, 2020
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.