D•••• K••• W•••

Advisor at S••••• W••••• M•••••••••

Birmingham, AL | ROCKFORD, IL

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 graphsid dfx:ria:8888e66c-5ac9-44c1-1cbb-fda54a0571c3

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 2:46 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Sep 18, 2013 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••••• W••••• M•••••••••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Sep 18, 2013earliest registration or exam on IAPD
Years in industry: 13derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S••••• W••••• M•••••••••	Independent wealth	Dec 4, 2023	n/a	yes	ROCKFORD, IL\|Birmingham, AL	Current employment
B••••••••• W••••• M•••••••••	Former SEC adviser	Sep 18, 2017	Mar 19, 2024	no	Birmingham, AL\|BIRMINGHAM, AL

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
B••••••••• W••••• M•••••••••	S••••• W••••• M•••••••••	Mar 19, 2024	Dec 4, 2023	-106	Firm change after gap	RIA to RIA
K•••••••• L••	B••••••••• W••••• M•••••••••	May 30, 2014	Sep 18, 2017

Team moves

••• Locked

Team	Left	Joined	From	Kind
164100:107271:AL:2024-03-19	Mar 19, 2024	Dec 4, 2023	BIRMINGHAM, AL	Firm change after gap

Relationships

Registered with (3)

→ S••••• W••••• M•••••••••Registered adviserregistration: current employment
Dec 4, 2023 to presentfactForm ADV
→ B••••••••• W••••• M•••••••••Registered adviserregistration: previous registration
Sep 18, 2017 to Mar 19, 2024factForm ADV
→ K•••••••• L••Registered adviserregistration: previous registration
Sep 18, 2013 to May 30, 2014factForm ADV

Dated events

Occurred
Mar 19, 2024
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:8888e66c-5ac9-44c1-1cbb-fda54a0571c3
First observed: Sep 18, 2013
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.