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

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RIA / WealthAdvisor28 years in industry

D•••• B•••• K•••••

Advisor at S•••• F• A••••••• L••

S•••• FE, NM

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Search this name across graphsid dfx:ria:8c6cd237-fb76-7202-9b20-066f44690696

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:32 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Dec 13, 2010 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•••• F• A••••••• L••
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jan 1, 1998earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 12derivedfrom the current registration's begin date
Prior firms

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
S•••• F• A••••••• L••	Independent wealth	Apr 14, 2014	n/a	yes	S•••• FE, NM	Current employment
F•••• S•••• F• A•••••••• L••	Former SEC adviser	Dec 13, 2010	Dec 11, 2014	no

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
F•••• S•••• F• A•••••••• L••	S•••• F• A••••••• L••	Dec 11, 2014	Apr 14, 2014	-241	Firm change after gap	Other

Relationships

Registered with (2)

→ S•••• F• A••••••• L••Registered adviserregistration: current employment
Apr 14, 2014 to presentfactForm ADV
→ F•••• S•••• F• A•••••••• L••Registered adviserregistration: previous registration
Dec 13, 2010 to Dec 11, 2014factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:8c6cd237-fb76-7202-9b20-066f44690696
First observed: Dec 13, 2010
Last observed: Sep 14, 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.