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

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RIA / WealthAdvisordual registered (broker-dealer)33 years in industry

S••••• K••• R••

Advisor at S•••••• N••••••• • C••••••• I•••••••••

HOUSTON, TX

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Search this name across graphsid dfx:ria:641e2ba3-4937-ce61-30c3-43c35b434710

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 11:09 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Jun 14, 2002 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•••••• N••••••• • C••••••• I•••••••••
Current firm class: national broker-dealer RIAderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jul 30, 1993earliest registration or exam on IAPD
Years in industry: 33derivedfrom the industry start date
Years at current firm: 0derivedfrom 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•••••• N••••••• • C••••••• I•••••••••	National bd RIA	Dec 2, 2025	n/a	yes	HOUSTON, TX	Current employment
M••••••••• F•••••••• S••••••• L••	Former SEC adviser	Jun 8, 2016	Dec 31, 2018	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
S•••••• M••••• L••	M••••••••• F•••••••• S••••••• L••	Dec 3, 2025	Jun 8, 2016	-3,465	Firm change after gap	Other
M••••••••• F•••••••• S••••••• L••	S•••••• N••••••• • C••••••• I•••••••••	Dec 31, 2018

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
20580:110949:TX:2025-12-03	Dec 3, 2025	Jun 8, 2016	THE WOODLANDS, TX	Firm change after gap
110949:793:TX:2018-12-31	Dec 31, 2018	Dec 2, 2025	HOUSTON, TX	Firm change after gap

Relationships

Registered with (6)

→ S•••••• N••••••• • C••••••• I•••••••••Registered adviserregistration: current employment
Dec 2, 2025 to presentfactForm ADV
→ S•••••• M••••• L••Registered adviserregistration: previous registration
Sep 30, 2010 to Dec 3, 2025factForm ADV
→ M••••••••• F•••••••• S••••••• L••Registered adviserregistration: previous registration
Jun 8, 2016 to Dec 31, 2018factForm ADV
→ A•••••• W••• D••••••• • B••••• I•••

Dated events

Occurred
Dec 3, 2025
Advisor changed firm
S••••• K••• R•• left S•••••• M••••• L•• for M••••••••• F•••••••• S••••••• L•• (registered 2016-06-08)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:641e2ba3-4937-ce61-30c3-43c35b434710
First observed: Jun 14, 2002
Last observed: Sep 14, 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.