DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Planner10 years in industry

S•••••• L•• C••••

Advisor at T•• A••••••••• L••

STAMFORD, VT

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Search this name across graphsid dfx:ria:bd205177-844e-b351-949c-8d668892ecfa

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 1:59 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Apr 22, 2016 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: T•• A••••••••• L••
Current firm class: state registeredderived
Book size: not public••• Locked
Industry start: Oct 1, 2015earliest registration or exam on IAPD
Years in industry: 10derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
T•• A••••••••• L••	State registered	Aug 25, 2026	n/a	yes	STAMFORD, VT	Current employment
K••••• A••••••• S•••••••• L••	Bd affiliated wealth	Jul 30, 2021	Jul 28, 2026	no	New York, NY\|AUSTIN, TX\|Ham Lake, MN

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
K••••• A••••••• S•••••••• L••	T•• A••••••••• L••	Jul 28, 2026	Aug 25, 2026	28	Firm change	Ibd to state RIA
N••••••• I••••••••• M••••••••• I•••	K••••• A••••••• S•••••••• L••	Jun 30, 2021	Jul 30, 2021

Team moves

••• Locked

Team	Left	Joined	From	Kind
154308:109401:MN:2017-04-07	Apr 7, 2017	Apr 18, 2017	MINNEAPOLIS, MN	Firm change

Relationships

Registered with (4)

→ T•• A••••••••• L••Registered adviserregistration: current employment
Aug 25, 2026 to presentfactForm ADV
→ K••••• A••••••• S•••••••• L••Registered adviserregistration: previous registration
Jul 30, 2021 to Jul 28, 2026factForm ADV
→ N••••••• I••••••••• M••••••••• I•••Registered adviserregistration: previous registration
Apr 18, 2017 to Jun 30, 2021factForm ADV
→ W•••••••• R••••••• A•••••••

Dated events

Occurred
Jul 28, 2026
Advisor changed firm
S•••••• L•• C•••• left K••••• A••••••• S•••••••• L•• for T•• A••••••••• L•• (registered 2026-08-25)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:bd205177-844e-b351-949c-8d668892ecfa
First observed: Apr 22, 2016
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.