DFX Intelligence

K•••••• N••••••••: 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 / WealthAdvisordual registered (broker-dealer)23 years in industry

K•••••• N••••••••

Advisor at S•••••••• A••••••• L••

MANHATTAN BEACH, 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:6a650439-ed8f-28e5-6014-d4a1c8016549

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:44 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Apr 17, 2013 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: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: May 5, 2003earliest registration or exam on IAPD
Years in industry: 23derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S•••••••• A••••••• L••	National bd RIA	Mar 31, 2025	n/a	yes	MANHATTAN BEACH, CA	Current employment
F••••••• P••••••• A•• W•••••••• A•••••••	Former SEC adviser	Nov 15, 2021	Mar 31, 2025	no	S••••FIELD, RI

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
F••••••• P••••••• A•• W•••••••• A•••••••	S•••••••• A••••••• L••	Mar 31, 2025	Mar 31, 2025	0	Bulk transfer	Ibd to ibd
C••••••• S••••••••• I•••	F••••••• P••••••• A•• W•••••••• A•••••••	Sep 9, 2021	Nov 15, 2021

Team moves

••• Locked

Team	Left	Joined	From	Kind
39550:288590:MA:2021-09-03	Sep 9, 2021	Nov 15, 2021	WOBURN, MA	Firm change

Relationships

Registered with (4)

→ S•••••••• A••••••• L••Registered adviserregistration: current employment
Mar 31, 2025 to presentfactForm ADV
→ F••••••• P••••••• A•• W•••••••• A•••••••Registered adviserregistration: previous registration
Nov 15, 2021 to Mar 31, 2025factForm ADV
→ C••••••• S••••••••• I•••Registered adviserregistration: previous registration
Feb 12, 2016 to Sep 9, 2021factForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:6a650439-ed8f-28e5-6014-d4a1c8016549
First observed: Apr 17, 2013
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.