DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Planner40 years in industry

K•••• E••••• S•••••••

Advisor at S•••••• G•••••• L••

AUSTIN, TX

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Search this name across graphsid dfx:ria:766408e1-5469-901c-f65f-09064fa7e7e7

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:48 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Jan 15, 1986 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•••••• G•••••• L••
Current firm class: state registeredderived
Book size: not public••• Locked
Industry start: Jan 13, 1986earliest registration or exam on IAPD
Years in industry: 40derivedfrom the industry start date
Years at current firm: 11derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S•••••• G•••••• L••	State registered	Jun 8, 2015	n/a	yes	AUSTIN, TX	Current employment
R••••••• C••••••••• G••••• I•••	State registered	Jan 25, 1989	Dec 31, 2010	no	AUSTIN, TX\|AUSTIN, TX	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
F•• S••••••••• C•••••••••	R••••••• C••••••••• G••••• I•••	Sep 21, 2011	Jan 25, 1989	-8,274	Firm change after gap	Other
R••••••• C••••••••• G••••• I•••	S•••••• G•••••• L••	Dec 31, 2010	Jun 8, 2015

Relationships

Registered with (3)

→ S•••••• G•••••• L••Registered adviserregistration: current employment
Jun 8, 2015 to presentfactForm ADV
→ F•• S••••••••• C•••••••••Registered adviserregistration: previous registration
Jan 15, 1986 to Sep 21, 2011factForm ADV
→ R••••••• C••••••••• G••••• I•••Registered adviserregistration: previous registration
Jan 25, 1989 to Dec 31, 2010factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:766408e1-5469-901c-f65f-09064fa7e7e7
First observed: Jan 15, 1986
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.