DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)45 years in industry

S•••••• L••••• K•••••

Advisor at S••••••••• C••••••• I•••

••• Locked

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Search this name across graphsid dfx:ria:7f3f9769-8c62-5200-a62a-27ba25011956

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 2:17 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Jun 19, 1998 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: S••••••••• C••••••• I•••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Dec 1, 1980earliest 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: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S••••••••• C••••••• I•••	Independent wealth	Jan 1, 2025	n/a	yes	HONOLULU, HI\|MONROVIA, CA\|Brea, CA	Current employment
T••••••••• F•••••••• A•••••••• L••	Bd affiliated wealth	Sep 4, 2009	Dec 31, 2009	no	MONROVIA, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
T••••••••• F•••••••• A•••••••• L••	S••••••••• C••••••• I•••	Dec 31, 2009	Jan 1, 2025	5,480	Firm change after gap	Other
T••••••••• F•••••••• A•••••••• I•••	T••••••••• F•••••••• A•••••••• L••	Sep 4, 2009	Sep 4, 2009

Relationships

Registered with (3)

→ S••••••••• C••••••• I•••Registered adviserregistration: current employment
Jan 1, 2025 to presentfactForm ADV
→ T••••••••• F•••••••• A•••••••• L••Registered adviserregistration: previous registration
Sep 4, 2009 to Dec 31, 2009factForm ADV
→ T••••••••• F•••••••• A•••••••• I•••Registered adviserregistration: previous registration
Jun 19, 1998 to Sep 4, 2009factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:7f3f9769-8c62-5200-a62a-27ba25011956
First observed: Jun 19, 1998
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.