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

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RIA / WealthAdvisordual registered (broker-dealer)28 years in industry

D•••• L•• K•••

Advisor at S•••• W••••• M••••••••• L••

MCLEAN, VA | Englewood, CO

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Search this name across graphsid dfx:ria:5afc9b7d-49dc-f2c1-8b22-a3bc392ded17

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:19 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 1
On other graphs: 0
Observed: Feb 11, 2000 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••••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Mar 6, 1998earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
S•••• W••••• M••••••••• L••	Bd affiliated wealth	Jun 23, 2023	n/a	yes	MCLEAN, VA\|Englewood, CO	Current employment
L•• F•••••••• L••	Bd affiliated wealth	Nov 9, 2018	Jul 19, 2023	no

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
L•• F•••••••• L••	S•••• W••••• M••••••••• L••	Jul 19, 2023	Jun 23, 2023	-26	Firm change	Ibd to ibd
W•••• F•••• A•••••••	L•• F•••••••• L••	Nov 23, 2018

Relationships

Registered with (7)

→ S•••• W••••• M••••••••• L••Registered adviserregistration: current employment
Jun 23, 2023 to presentfactForm ADV
→ L•• F•••••••• L••Registered adviserregistration: previous registration
Nov 9, 2018 to Jul 19, 2023factForm ADV
→ W•••• F•••• A•••••••Registered adviserregistration: previous registration
Sep 1, 2010 to Nov 23, 2018factForm ADV
→ M••••• S••••••

Dated events

Occurred
Jul 19, 2023
Advisor changed firm
D•••• L•• K••• left L•• F•••••••• L•• for S•••• W••••• M••••••••• L•• (registered 2023-06-23)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:5afc9b7d-49dc-f2c1-8b22-a3bc392ded17
First observed: Feb 11, 2000
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.