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

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RIA / WealthAdvisorCertified Financial Planner21 years in industry

E••••• W•••••• K•••••

Advisor at S•••• W••••• M••••••••• L••

FREDERICKSBURG, TX

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Search this name across graphsid dfx:ria:f29699c3-f6dc-701d-1ca1-fe73b83e111b

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:47 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Mar 7, 2005 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••••• M••••••••• L••
Current firm class: mixed wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Mar 3, 2005earliest registration or exam on IAPD
Years in industry: 21derivedfrom the industry start date
Years at current firm: 2derivedfrom 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••••• M••••••••• L••	Mixed wealth	Sep 29, 2023	n/a	yes	FREDERICKSBURG, TX	Current employment
A••••• P••••••• G••••• I•••	Independent wealth	Feb 20, 2015	Aug 10, 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
A••••• P••••••• G••••• I•••	S•••• W••••• M••••••••• L••	Aug 10, 2023	Sep 29, 2023	50	Firm change	RIA to new firm
U••• F•••••••• P••••••• S•••••••	A••••• P••••••• G••••• I•••	Feb 28, 2014

Relationships

Registered with (3)

→ S•••• W••••• M••••••••• L••Registered adviserregistration: current employment
Sep 29, 2023 to presentfactForm ADV
→ A••••• P••••••• G••••• I•••Registered adviserregistration: previous registration
Feb 20, 2015 to Aug 10, 2023factForm ADV
→ U••• F•••••••• P••••••• S•••••••Registered adviserregistration: previous registration
Oct 9, 2009 to Feb 28, 2014factForm ADV

Dated events

Occurred
Aug 10, 2023
Advisor changed firm
E••••• W•••••• K••••• left A••••• P••••••• G••••• I••• for S•••• W••••• M••••••••• L•• (registered 2023-09-29)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:f29699c3-f6dc-701d-1ca1-fe73b83e111b
First observed: Mar 7, 2005
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.