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

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

S•••••••• F•••••••• L••

CRD 133697

ROCKVILLE, MD

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Search this name across graphsid dfx:ria:b85eb251-1648-21ae-914d-1e8f848deb3b

Data as of Jul 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 11:02 PM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 2
On other graphs: 0
Observed: Mar 19, 2012 to Jul 14, 2026
27 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: independent wealth managerderivedprivate_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=1.0
Regulatory AUM: $258MItem 5.F on the latest filing (2026-07-14); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $258M
Private client RAUM: $258MderivedItem 5.D individuals plus high net worth individuals
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 5
RAUM per advisor

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
R•••••• W•••• S••••••••	Certified Financial Planner	ROCKVILLE, MD	21	42	1	yes
K•••• P••••••• S••••••••	Certified Financial Planner	ROCKVILLE, MD	21	46

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
S••••••••• K••••• P•••••••	MANAGING MEMBER	E	yes	12/2004	Mar 19, 2012	Nov 19, 2024
Y••••••• K••••••	CHIEF COMPLIANCE OFFICER	Na	yes	05/2019	Jun 11, 2019

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
n/a	n/a	n/a	1	no

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line; showing 15 of 16

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	0

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$258M	$223M	15.4%	$178M	13.1%	7	7	3	3

Relationships

Registered with (5)

← C••••• R•••• D••••Advisorregistration: current employment
Jan 1, 2025 to presentfactForm ADV
← B•••••• K••••Advisorregistration: current employment
Jan 1, 2025 to presentfactForm ADV
← K•••••• Y••••••Advisorregistration: previous registration
Oct 22, 2009 to Jul 21, 2010factForm ADV
← R•••••• W•••• S••••••••

Dated events

Occurred
Jun 11, 2019
Control person left
A Carole Byrd (Chief Compliance Officer (Cco)) no longer on Schedule A of S•••••••• F•••••••• L•• (listed 2019-02-27, absent 2019-06-11)
Form ADVobserved 6 days ago
Occurred
Jun 11, 2019
Control person joined
K•••••• Y•••••• (Chief Compliance Officer) appeared on Schedule A of S•••••••• F•••••••• L••
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b85eb251-1648-21ae-914d-1e8f848deb3b
First observed: Mar 19, 2012
Last observed: Jul 14, 2026 2 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.

2025	Mar 2, 2026	$258M	$258M	7	4	3	n/a	n/a
2024	Apr 11, 2025	$223M	$223M	7	5	3	n/a	n/a
2023	Mar 5, 2024	$199M	$199M	7	4	2	n/a	n/a
2022	Feb 10, 2023	$178M	$178M	6	4	1	n/a	n/a
2021	Mar 1, 2022	$213M	$213M	5	4	0	n/a	n/a
2020	Feb 18, 2021	$182M	$182M	6	4	0	n/a	n/a
2019	Mar 9, 2020	$167M	$167M	6	4	0	n/a	n/a
2018	Feb 27, 2019	$145M	$145M	5	4	0	n/a	n/a
2017	Mar 12, 2018	$166M	$166M	5	3	0	n/a	n/a
2016	Mar 21, 2017	$140M	$140M	5	4	n/a	n/a	n/a
2015	Feb 17, 2016	$148M	$148M	6	3	n/a	n/a	n/a
2014	Feb 13, 2015	$138M	$138M	5	3	n/a	n/a	n/a
2013	Feb 7, 2014	$135M	$135M	5	2	n/a	n/a	n/a
2012	Mar 1, 2013	$113M	$113M	4	2	n/a	n/a	n/a
2011	Mar 19, 2012	$100.0M	$100.0M	n/a	n/a	n/a	n/a	n/a