DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)12 years in industry

K•••••• M••••

Advisor at S••• W••••• L••

SAN FRANCISCO, CA | Mount Pleasant, SC

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Search this name across graphsid dfx:ria:c94c599a-d47c-3374-46a6-29bf6b670884

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:16 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 3
On other graphs: 0
Observed: Oct 4, 2018 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••• W••••• L••
Current firm class: broker-dealer affiliated 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: 0derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S••• W••••• L••	Bd affiliated wealth	Mar 30, 2026	n/a	yes	SAN FRANCISCO, CA\|Mount Pleasant, SC	Current employment
D••••• M•••• A•••••••• L••	Independent wealth	Jan 14, 2026	Mar 3, 2026	no	Mount Pleasant, SC\|NEW YORK, NY

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
D••••• M•••• A•••••••• L••	S••• W••••• L••	Mar 3, 2026	Mar 30, 2026	27	Firm change	Other
S••• W••••• L••	D••••• M•••• A•••••••• L••	Jan 21, 2026	Jan 14, 2026

Relationships

Registered with (3)

→ S••• W••••• L••Registered adviserregistration: previous registration
Jan 31, 2022 to Jan 21, 2026factForm ADV
→ D••••• M•••• A•••••••• L••Registered adviserregistration: previous registration
Jan 14, 2026 to Mar 3, 2026factForm ADV
→ R••••• W• B•••• • C•• I•••••••••Registered adviserregistration: previous registration
Oct 4, 2018 to Jan 10, 2022factForm ADV

Dated events

Occurred
Mar 3, 2026
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Jan 21, 2026
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Jan 10, 2022
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:c94c599a-d47c-3374-46a6-29bf6b670884
First observed: Oct 4, 2018
Last observed: Sep 14, 2026 9 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.