DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)28 years in industry

S••••• K•• E•••••••

Advisor at C••••• I••••••••• A••••••• L••

••• Locked

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Search this name across graphsid dfx:ria:f559f126-6d83-1c82-0022-bb695ea9e599

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:09 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Sep 26, 1997 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: C••••• I••••••••• A••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Sep 26, 1997earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••••• I••••••••• A••••••• L••	Bd affiliated wealth	Aug 10, 2023	n/a	yes	MESA, AZ\|PALM BEACH GARDENS, FL\|Mesa, AZ	Current employment
S••••••• F•••••••• S•••••••• I•••	Former SEC adviser	Jan 5, 2016	Aug 10, 2023	no	The Villages, FL\|PALM BEACH GARDENS, FL\|Mesa, AZ\|ST. PAUL, MN

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
S••••••• F•••••••• S•••••••• I•••	C••••• I••••••••• A••••••• L••	Aug 10, 2023	Aug 10, 2023	0	Bulk transfer	RIA to ibd
P•••• S••••••••• L••	S••••••• F•••••••• S•••••••• I•••	Dec 28, 2015	Jan 5, 2016

Relationships

Registered with (6)

→ C••••• I••••••••• A••••••• L••Registered adviserregistration: current employment
Aug 10, 2023 to presentfactForm ADV
→ S••••••• F•••••••• S•••••••• I•••Registered adviserregistration: previous registration
Jan 5, 2016 to Aug 10, 2023factForm ADV
→ P•••• S••••••••• L••Registered adviserregistration: previous registration
Dec 19, 2006 to Dec 28, 2015factForm ADV
→ I•••••••• S••••••••• I•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:f559f126-6d83-1c82-0022-bb695ea9e599
First observed: Sep 26, 1997
Last observed: Sep 15, 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.