K•••••• Y•••

Advisor at S••••• A••••••• I•••

Industry, CA | BIRMINGHAM, AL

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 graphs

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:19 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Apr 16, 2002 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••••••• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Feb 5, 1999earliest registration or exam on IAPD
Years in industry: 27derivedfrom the industry start date
Years at current firm: 6derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S••••• A••••••• I•••	Bd affiliated wealth	Dec 9, 2019	n/a	yes	BIRMINGHAM, AL\|Industry, CA	Current employment
Q•••• C•••••• S••••••••• I•••	Former SEC adviser	May 18, 2007	Dec 23, 2019	no	LAS VEGAS, NV\|LAS VEGAS, NV\|HENDERSON, NV\|SUMMERLIN, NV\|LAGUNA HILLS, CA\|EL MONTE, CA\|ESSEX JUNCTION, VT\|HENDERSON, NV\|LAS VEGAS, NV\|WOODLAND HILLS, CA\|LAKE FOREST, CA\|LAS VEGAS, NV\|EL MONTE, CA\|LAGUNA HILLS, CA\|LAGUNA HILLS, CA\|ONTARIO, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
Q•••• C•••••• S••••••••• I•••	S••••• A••••••• I•••	Dec 23, 2019	Dec 9, 2019	-14	Bulk transfer	RIA to ibd
U•••••••• S••••••••• I•••	Q•••• C•••••• S••••••••• I•••	Nov 30, 2005	May 18, 2007

Relationships

Registered with (4)

→ S••••• A••••••• I•••Registered adviserregistration: current employment
Dec 9, 2019 to presentfactForm ADV
→ Q•••• C•••••• S••••••••• I•••Registered adviserregistration: previous registration
May 18, 2007 to Dec 23, 2019factForm ADV
→ U•••••••• S••••••••• I•••Registered adviserregistration: previous registration
Nov 16, 2004 to Nov 30, 2005factForm ADV
→ P•••• S••••••••• L••Registered adviser

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Apr 16, 2002
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.