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

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)36 years in industry

S••••• D•••••• K•••••••

Advisor at S••••• C•••••• M••••••••• L••

SAINT LOUIS, MO | Edmond, OK

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:b6b71b2b-1d66-9700-74d4-3550b003490b

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:19 AM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 1
On other graphs: 0
Observed: May 8, 2001 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••••• C•••••• M••••••••• 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: Oct 1, 1989earliest registration or exam on IAPD
Years in industry: 36derivedfrom the industry start date
Years at current firm: 1derivedfrom 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••••• C•••••• M••••••••• L••	Independent wealth	Jan 2, 2025	n/a	yes	SAINT LOUIS, MO\|Edmond, OK	Current employment
S••••• C•••••• M••••••••• L••	Independent wealth	Nov 1, 2023	Dec 31, 2024	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
P••• G•••• F••••••••• I•••	S••••• C•••••• M••••••••• L••	Nov 9, 2023	Nov 1, 2023	-8	Firm change	RIA to RIA
S•••• M•••• G••••• L••	P••• G•••• F••••••••• I•••	Oct 27, 2020

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
116508:122692:OK:2023-11-09	Nov 9, 2023	Nov 1, 2023	EDMOND, OK	Firm change
284187:116508:TX:2020-10-27	Oct 27, 2020	Sep 3, 2019	EASTLAND, TX	Firm change after gap
109485:284187:OK:2017-05-15	May 15, 2017	May 9, 2017	EDMOND, OK	Firm change

Relationships

Registered with (6)

→ S••••• C•••••• M••••••••• L••Registered adviserregistration: previous registration
Nov 1, 2023 to Dec 31, 2024factForm ADV
→ P••• G•••• F••••••••• I•••Registered adviserregistration: previous registration
Jan 12, 2023 to Nov 9, 2023factForm ADV
→ S•••• M•••• G••••• L••Registered adviserregistration: previous registration
May 9, 2017 to Oct 27, 2020factForm ADV
→ S••••• F•••••••• G•••• I••

Dated events

Occurred
Nov 9, 2023
Advisor changed firm
S••••• D•••••• K••••••• left P••• G•••• F••••••••• I••• for S••••• C•••••• M••••••••• L•• (registered 2023-11-01)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b6b71b2b-1d66-9700-74d4-3550b003490b
First observed: May 8, 2001
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.