DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)45 years in industry

S••••• K•• D•••••

Advisor at A••••••••• F•••••••• S•••••••• L••

Gilbert, AZ | Phoenix, AZ

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Search this name across graphsid dfx:ria:765eeae3-4266-b5a7-9b76-ad105021c489

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:19 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Mar 25, 2009 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: A••••••••• F•••••••• S•••••••• L••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Jul 21, 1981earliest registration or exam on IAPD
Years in industry: 45derivedfrom 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
A••••••••• F•••••••• S•••••••• L••	National bd RIA	Dec 13, 2024	n/a	yes	Gilbert, AZ\|Phoenix, AZ	Current employment
U••• B•••••• I••••••••• I•••	Former SEC adviser	Sep 14, 2021	Dec 18, 2024	no	Scottsdale, AZ\|Los Angeles, CA\|Phoenix, AZ\|Chandler, AZ\|Chandler, AZ\|Phoenix, AZ\|Tempe, AZ\|Phoenix, AZ\|Scottsdale, AZ

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
U••• B•••••• I••••••••• I•••	A••••••••• F•••••••• S•••••••• L••	Dec 18, 2024	Dec 13, 2024	-5	Firm change	Ibd to ibd
W•••• F•••• A•••••••	U••• B•••••• I••••••••• I•••	Sep 16, 2021	Sep 14, 2021

Relationships

Registered with (4)

→ A••••••••• F•••••••• S•••••••• L••Registered adviserregistration: current employment
Dec 13, 2024 to presentfactForm ADV
→ U••• B•••••• I••••••••• I•••Registered adviserregistration: previous registration
Sep 14, 2021 to Dec 18, 2024factForm ADV
→ W•••• F•••• A•••••••Registered adviserregistration: previous registration
Jun 1, 2015 to Sep 16, 2021factForm ADV
→ B••••••••• I••••••••• C••••••••• L••

Dated events

Occurred
Dec 18, 2024
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:765eeae3-4266-b5a7-9b76-ad105021c489
First observed: Mar 25, 2009
Last observed: Sep 15, 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.