DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)12 years in industry

K••• W•••••• S•••••••

Advisor at L•••••• I•••••••••

••• Locked

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Search this name across graphsid dfx:ria:bba21af2-4def-6d85-c7fc-5fcb8feda568

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:40 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Sep 17, 2018 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: L•••••• I•••••••••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Aug 1, 2014earliest registration or exam on IAPD
Years in industry: 12derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
L•••••• I•••••••••	Independent wealth	Jul 21, 2022	n/a	yes	Denver, CO\|NEW HOPE, PA\|Horsham, PA	Current employment
S••••• C•••••• M•••••••••	State registered	Feb 12, 2021	Jul 1, 2022	no	Denver, CO\|COLORADO SPRINGS, CO

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
S••••• C•••••• M•••••••••	L•••••• I•••••••••	Jul 1, 2022	Jul 21, 2022	20	Firm change	Other
L•••••• I•••••••••	S••••• C•••••• M•••••••••	Feb 12, 2021	Feb 12, 2021

Relationships

Registered with (2)

→ L•••••• I•••••••••Registered adviserregistration: previous registration
Sep 17, 2018 to Feb 12, 2021factForm ADV
→ S••••• C•••••• M•••••••••Registered adviserregistration: previous registration
Feb 12, 2021 to Jul 1, 2022factForm ADV

Dated events

Occurred
Jul 1, 2022
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:bba21af2-4def-6d85-c7fc-5fcb8feda568
First observed: Sep 17, 2018
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.