C••••• K••••••

Advisor at S•••••••• A••••••• L••

WEST ALLIS, WI

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphs

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:55 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Apr 5, 2019 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•••••••• A••••••• L••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Aug 1, 2015earliest registration or exam on IAPD
Years in industry: 11derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S•••••••• A••••••• L••	National bd RIA	Mar 31, 2025	n/a	yes	WEST ALLIS, WI	Current employment
F••••••• P••••••• A•• W•••••••• A•••••••	Former SEC adviser	Dec 15, 2021	Mar 31, 2025	no	FRANKLIN, WI\|SALT LAKE CITY, UT

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
F••••••• P••••••• A•• W•••••••• A•••••••	S•••••••• A••••••• L••	Mar 31, 2025	Mar 31, 2025	0	Bulk transfer	Ibd to ibd
U•• M•••••• A•••••••• I•••	F••••••• P••••••• A•• W•••••••• A•••••••	Dec 31, 2019	Dec 15, 2021

Team moves

••• Locked

Team	Left	Joined	From	Kind
131750:288590:WI:2019-12-31	Dec 31, 2019	Dec 15, 2021	MILWAUKEE, WI	Firm change after gap

Relationships

Registered with (3)

→ S•••••••• A••••••• L••Registered adviserregistration: current employment
Mar 31, 2025 to presentfactForm ADV
→ F••••••• P••••••• A•• W•••••••• A•••••••Registered adviserregistration: previous registration
Dec 15, 2021 to Mar 31, 2025factForm ADV
→ U•• M•••••• A•••••••• I•••Registered adviserregistration: previous registration
Apr 5, 2019 to Dec 31, 2019factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Apr 5, 2019
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.