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

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RIA / WealthAdvisordual registered (broker-dealer)27 years in industry

K••••••••• S•••• F•••••••

Advisor at S••••• F••••••••• L••

SARASOTA, FL

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:bd707138-86d6-2336-912f-142b7199a4a6

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 11:10 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Jul 2, 1999 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••••• F••••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jul 2, 1999earliest registration or exam on IAPD
Years in industry: 27derivedfrom 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••••• F••••••••• L••	Bd affiliated wealth	Apr 14, 2025	n/a	yes	SARASOTA, FL	Current employment
L•• A•••••••• L••	Former SEC adviser	Apr 3, 2019	Jun 11, 2025	no	SARASOTA, FL

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
L•• A•••••••• L••	S••••• F••••••••• L••	Jun 11, 2025	Apr 14, 2025	-58	Firm change after gap	RIA to ibd
S••••••••• A•••••• A•••••••• I•••	L•• A•••••••• L••	Feb 3, 2020

Team moves

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

Team	Left	Joined	From	Kind
298068:299322:FL:2025-06-11	Jun 11, 2025	Apr 14, 2025	SARASOTA, FL	Firm change after gap
110518:298068:FL:2020-02-03	Feb 3, 2020	Apr 3, 2019	SARASOTA, FL	Firm change after gap

Relationships

Registered with (4)

→ S••••• F••••••••• L••Registered adviserregistration: current employment
Apr 14, 2025 to presentfactForm ADV
→ L•• A•••••••• L••Registered adviserregistration: previous registration
Apr 3, 2019 to Jun 11, 2025factForm ADV
→ S••••••••• A•••••• A•••••••• I•••Registered adviserregistration: previous registration
Jan 4, 2005 to Feb 3, 2020factForm ADV
→ A••••••••• F•••••••• S•••••••• L••

Dated events

Occurred
Jun 11, 2025
Advisor changed firm
K••••••••• S•••• F••••••• left L•• A•••••••• L•• for S••••• F••••••••• L•• (registered 2025-04-14)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:bd707138-86d6-2336-912f-142b7199a4a6
First observed: Jul 2, 1999
Last observed: Sep 14, 2026 7 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.