DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)28 years in industry

S••••• K•• L••• C•••

Advisor at B•••••• W••••• M•••••••••

••• Locked

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Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 5:46 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: May 9, 2006 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: B•••••• W••••• M•••••••••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Aug 21, 1998earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
I•••••••• A•••••••• L••	Bd affiliated wealth	Oct 9, 2025	n/a	yes	San Ramon, CA\|San Ramon, CA\|URBANDALE, IA	Current employment
B•••••• W••••• M•••••••••	Independent wealth	Feb 21, 2025	n/a	yes	San Ramon, CA\|OAKLAND, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
L••• S••••• A•••••••• L••	B•••••• W••••• M•••••••••	Nov 3, 2025	Feb 21, 2025	-255	Firm change after gap	Ibd to RIA
A••••••• A••••••• S•••••••	L••• S••••• A•••••••• L••	Aug 2, 2019	Aug 1, 2019

Team moves

••• Locked

Team	Left	Joined	From	Kind
167610:105437:CA:2025-11-03	Nov 3, 2025	Feb 21, 2025	SAN RAMON, CA	Firm change after gap
14869:167610:CA:2019-08-02	Aug 2, 2019	Aug 1, 2019	SAN RAMON, CA	Firm change

Relationships

Registered with (5)

→ I•••••••• A•••••••• L••Registered adviserregistration: current employment
Oct 9, 2025 to presentfactForm ADV
→ B•••••• W••••• M•••••••••Registered adviserregistration: current employment
Feb 21, 2025 to presentfactForm ADV
→ L••• S••••• A•••••••• L••Registered adviserregistration: previous registration
Aug 1, 2019 to Nov 3, 2025factForm ADV
→ A••••••• A••••••• S•••••••

Dated events

Occurred
Nov 3, 2025
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: May 9, 2006
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.