DFX Intelligence

K•••••• A•••• E••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorChartered Financial Consultantdual registered (broker-dealer)34 years in industry

K•••••• A•••• E••••••

Advisor at S•••••• I••••••••• G••••• L••

WARRENDALE, PA | KANNAPOLIS, NC

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Search this name across graphsid dfx:ria:5b4c4a8e-a472-deb4-09f4-99e54f861c05

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 6:59 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Aug 4, 2010 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•••••• I••••••••• G••••• L••
Current firm class: former SEC adviserderived
Book size: not public••• Locked
Industry start: May 11, 1992earliest registration or exam on IAPD
Years in industry: 34derivedfrom the industry start date
Years at current firm: 14derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S•••••• I••••••••• G••••• L••	Former SEC adviser	Apr 26, 2012	n/a	yes	WARRENDALE, PA\|KANNAPOLIS, NC	Current employment
S•••••• I••••••••• G••••• L••	Former SEC adviser	Aug 4, 2010	Mar 7, 2012	no	CHARLOTTE, NC\|GIBSONIA, PA

Relationships

Registered with (1)

→ S•••••• I••••••••• G••••• L••Registered adviserregistration: previous registration
Aug 4, 2010 to Mar 7, 2012factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:5b4c4a8e-a472-deb4-09f4-99e54f861c05
First observed: Aug 4, 2010
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.