K••• S•••••

Advisor at S••••• A•••••••• L••

Costa Mesa, 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:61ddbbb7-7bfa-7e85-5563-200c2e7e563f

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:28 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Oct 11, 2001 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: independent wealth managerderived
Book size: not public••• Locked
Industry start: Aug 22, 1994earliest registration or exam on IAPD
Years in industry: 32derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S••••• A•••••••• L••	Independent wealth	Nov 15, 2024	n/a	yes	Costa Mesa, CA	Current employment
M••••• S••••••	Wirehouse	Feb 15, 2013	Nov 27, 2024	no	El Segundo, CA\|Rolling Hills Estates, CA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M••••• S••••••	S••••• A•••••••• L••	Nov 27, 2024	Nov 15, 2024	-12	Firm change	Wirehouse to RIA
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	M••••• S••••••	Feb 19, 2013	Feb 15, 2013

Relationships

Registered with (4)

→ S••••• A•••••••• L••Registered adviserregistration: current employment
Nov 15, 2024 to presentfactForm ADV
→ M••••• S••••••Registered adviserregistration: previous registration
Feb 15, 2013 to Nov 27, 2024factForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Registered adviserregistration: previous registration
May 11, 2010 to Feb 19, 2013factForm ADV
→ N••••••••• I•••Registered adviser

Dated events

Occurred
Nov 27, 2024
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:61ddbbb7-7bfa-7e85-5563-200c2e7e563f
First observed: Oct 11, 2001
Last observed: Sep 14, 2026 9 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.