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

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RIA / WealthAdvisordual registered (broker-dealer)16 years in industry

K•••••• A•••• R•••••

Advisor at S•••••• W••••• P•••••••• L••

BEACHWOOD, OH

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Search this name across graphsid dfx:ria:ecadc6f7-65ab-b68b-36f9-47aa516e657f

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 11:10 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Oct 22, 2009 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••••• P•••••••• 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: Oct 16, 2009earliest registration or exam on IAPD
Years in industry: 16derivedfrom the industry start date
Years at current firm: 15derivedfrom 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•••••• W••••• P•••••••• L••	Bd affiliated wealth	Sep 19, 2011	n/a	yes	BEACHWOOD, OH	Current employment
M••••• S••••••	Wirehouse	Oct 22, 2009	Sep 7, 2011	no	Pepper Pike, OH

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
M••••• S••••••	S•••••• W••••• P•••••••• L••	Sep 7, 2011	Sep 19, 2011	12	Firm change	Other

Relationships

Registered with (2)

→ S•••••• W••••• P•••••••• L••Registered adviserregistration: current employment
Sep 19, 2011 to presentfactForm ADV
→ M••••• S••••••Registered adviserregistration: previous registration
Oct 22, 2009 to Sep 7, 2011factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:ecadc6f7-65ab-b68b-36f9-47aa516e657f
First observed: Oct 22, 2009
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.