DFX Intelligence

C•••••• J••• E••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)46 years in industry

C•••••• J••• E••••

Advisor at S•••••• A••••••• L••

CHARLOTTE, NC | Dunmore, PA

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Search this name across graphsid dfx:ria:752b62c6-2d4b-ba0b-a230-c8967063a34e

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 3:31 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Feb 1, 2012 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: Oct 29, 1979earliest registration or exam on IAPD
Years in industry: 46derivedfrom the industry start date
Years at current firm: 6derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S•••••• A••••••• L••	Independent wealth	Oct 23, 2019	n/a	yes	CHARLOTTE, NC\|Dunmore, PA	Current employment
L••• K••• • C••••••	Former SEC adviser	Feb 1, 2012	Jan 23, 2017	no	ATLANTA, GA\|DUNMORE, PA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
L••• K••• • C••••••	S•••••• A••••••• L••	Jan 23, 2017	Oct 23, 2019	1,003	Firm change after gap	Other

Relationships

Registered with (2)

→ S•••••• A••••••• L••Registered adviserregistration: current employment
Oct 23, 2019 to presentfactForm ADV
→ L••• K••• • C••••••Registered adviserregistration: previous registration
Feb 1, 2012 to Jan 23, 2017factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:752b62c6-2d4b-ba0b-a230-c8967063a34e
First observed: Feb 1, 2012
Last observed: Sep 14, 2026 8 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.