DFX Intelligence

S••••• P• S•••••• L•••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserstate registeredstate registeredRAUM none

S••••• P• S•••••• L•••

CRD 172308

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:b2ccad6d-82f4-c407-2409-219089223ad1

Data as of Jan 20, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 4:47 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Jan 20, 2026 to Jan 20, 2026
1 observations

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

Firm class: state registeredderivedon the IAPD state feed, not SEC-registered
Private client RAUM: $0derived••• Locked
Employees: 2
Advisory employees: 1
Offices: 1Schedule D 1.F, beyond the principal office
CRD: 172308
Filings on the tape: 1
First filed: Jan 20, 2026

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
S••••• P••• S•••••	n/a	SEDONA, AZ	11	27	1	no
A••• T••• K••••••	n/a	SEDONA, AZ \| Chicago, IL	11	35

Teams in

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
O••••••••• • C•• I•••	2	Jan 5, 2016	Nov 25, 2014	NEW YORK, NY	Team lift out	Other	0.3%

Relationships

Registered with (2)

← S••••• P••• S•••••Advisorregistration: current employment
Nov 25, 2014 to presentfactForm ADV
← A••• T••• K••••••Advisorregistration: current employment
Nov 25, 2014 to presentfactForm ADV

Moved with (1)

← O••••••••• • C•• I•••Registered adviser2 advisors, team lift out, same day
Jan 5, 2016 to Nov 25, 2014factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b2ccad6d-82f4-c407-2409-219089223ad1
First observed: Jan 20, 2026
Last observed: Jan 20, 2026 8 months ago
Source families: Federal regulator filings
3 registered feeds 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.