DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)22 years in industry

S•••• R••• G•••••••

Advisor at K•• I••••••••• S••••••• L••

Ogden, UT | BROOKLYN, OH

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Search this name across graphs

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 5:50 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Jul 6, 2007 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: K•• I••••••••• S••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Sep 10, 2004earliest registration or exam on IAPD
Years in industry: 22derivedfrom the industry start date
Years at current firm: 9derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
K•• I••••••••• S••••••• L••	Bd affiliated wealth	Oct 13, 2016	n/a	yes	Ogden, UT\|BROOKLYN, OH	Current employment
U••• B•••••• I••••••••• I•••	Former SEC adviser	Sep 7, 2011	Oct 4, 2016	no	Salt Lake City, UT\|Bountiful, UT\|Ogden, UT\|BRIGHAM CITY, UT\|SALT LAKE CITY, UT\|Layton, UT\|OGDEN, UT\|Farmington, UT\|Roy, UT\|North Salt Lake, UT\|SOUTH OGDEN, UT\|Logan, UT\|Salt Lake City, UT

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
U••• B•••••• I••••••••• I•••	K•• I••••••••• S••••••• L••	Oct 4, 2016	Oct 13, 2016	9	Firm change	Other
E••••• J••••	U••• B•••••• I••••••••• I•••	Sep 9, 2011	Sep 7, 2011

Relationships

Registered with (3)

→ K•• I••••••••• S••••••• L••Registered adviserregistration: current employment
Oct 13, 2016 to presentfactForm ADV
→ U••• B•••••• I••••••••• I•••Registered adviserregistration: previous registration
Sep 7, 2011 to Oct 4, 2016factForm ADV
→ E••••• J••••Registered adviserregistration: previous registration
Jul 6, 2007 to Sep 9, 2011factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Jul 6, 2007
Last observed: Sep 15, 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.