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

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RIA / WealthAdvisorCertified Financial Planner15 years in industry

K•••••• M•••• L••••

Advisor at S••••• M•••••••••

Scottsdale, AZ | NORTH LITTLE ROCK, AR

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Search this name across graphsid dfx:ria:ebb5c966-62c9-d816-0516-a1d72ce97c03

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:41 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 2
On other graphs: 0
Observed: Oct 20, 2015 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: S••••• M•••••••••
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jul 14, 2011earliest registration or exam on IAPD
Years in industry: 15derivedfrom the industry start date
Years at current firm: 3derivedfrom 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••••• M•••••••••	Independent wealth	Jul 14, 2023	n/a	yes	Scottsdale, AZ\|NORTH LITTLE ROCK, AR	Current employment
C••• L••	Bd affiliated wealth	May 18, 2023	Jul 6, 2023	no

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
C••• L••	S••••• M•••••••••	Jul 6, 2023	Jul 14, 2023	8	Firm change	Ibd to RIA
S••••••••• A•••• M••••••••• L••	C••• L••	Jun 30, 2023

Relationships

Registered with (5)

→ S••••• M•••••••••Registered adviserregistration: current employment
Jul 14, 2023 to presentfactForm ADV
→ C••• L••Registered adviserregistration: previous registration
May 18, 2023 to Jul 6, 2023factForm ADV
→ S••••••••• A•••• M••••••••• L••Registered adviserregistration: previous registration
Oct 17, 2018 to Jun 30, 2023factForm ADV
→ F••••••• P••••••• A•• W•••••••• A•••••••

Dated events

Occurred
Jul 6, 2023
Advisor changed firm
K•••••• M•••• L•••• left C••• L•• for S••••• M••••••••• (registered 2023-07-14)
Form ADVobserved 7 days ago
Occurred
Jun 30, 2023
Advisor changed firm
K•••••• M•••• L•••• left S••••••••• A•••• M••••••••• L•• for C••• L•• (registered 2023-05-18)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:ebb5c966-62c9-d816-0516-a1d72ce97c03
First observed: Oct 20, 2015
Last observed: Sep 15, 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.