DFX Intelligence

Data Factory

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

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)30 years in industry

S•••• K•• L••••

Advisor at B••••••• F• E•••••• • C••••••• I•••••••••

Cumming, GA | ST. LOUIS, MO | Alpharetta, GA

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:6827c0d3-9356-2b53-467c-85875206333a

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 11:05 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Jun 13, 2003 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: B••••••• F• E•••••• • C••••••• I•••••••••
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: Apr 8, 1996earliest registration or exam on IAPD
Years in industry: 30derivedfrom the industry start date
Years at current firm: 16derivedfrom 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
B••••••• F• E•••••• • C••••••• I•••••••••	Bd affiliated wealth	Jul 26, 2010	n/a	yes	ST. LOUIS, MO\|Alpharetta, GA\|Cumming, GA	Current employment
W•••• F•••• A•••••••	Wirehouse	Jan 1, 2008	Oct 26, 2009	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
W•••• F•••• A•••••••	B••••••• F• E•••••• • C••••••• I•••••••••	Oct 26, 2009	Jul 26, 2010	273	Firm change	Other
A• G• E•••••• • S•••• I•••	W•••• F•••• A•••••••	Jan 1, 2008

Relationships

Registered with (3)

→ B••••••• F• E•••••• • C••••••• I•••••••••Registered adviserregistration: current employment
Jul 26, 2010 to presentfactForm ADV
→ W•••• F•••• A•••••••Registered adviserregistration: previous registration
Jan 1, 2008 to Oct 26, 2009factForm ADV
→ A• G• E•••••• • S•••• I•••Registered adviserregistration: previous registration
Jun 13, 2003 to Jan 1, 2008factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:6827c0d3-9356-2b53-467c-85875206333a
First observed: Jun 13, 2003
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.