DFX Intelligence

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

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RIA / WealthAdvisor35 years in industry

A••• T••• K••••••

Advisor at S••••• P• S•••••• L•••

SEDONA, AZ | Chicago, IL

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Search this name across graphsid dfx:ria:fcf4ba9e-1631-cb33-baf2-bbed3cf42bfd

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 5:41 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Apr 22, 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••••• P• S•••••• L•••
Current firm class: state registeredderived
Book size: not public••• Locked
Industry start: Jul 1, 1991earliest registration or exam on IAPD
Years in industry: 35derivedfrom the industry start date
Years at current firm: 11derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S••••• P• S•••••• L•••	State registered	Nov 25, 2014	n/a	yes	Chicago, IL\|SEDONA, AZ	Current employment
O••••••••• • C•• I•••	Bd affiliated wealth	Apr 22, 2005	Jan 5, 2016	no	LAKE FOREST, IL\|NEW YORK, NY\|NEW YORK, NY

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
O••••••••• • C•• I•••	S••••• P• S•••••• L•••	Jan 5, 2016	Nov 25, 2014	-406	Firm change after gap	Other

Team moves

••• Locked

Team	Left	Joined	From	Kind
249:172308:NY:2016-01-05	Jan 5, 2016	Nov 25, 2014	NEW YORK, NY	Firm change after gap

Relationships

Registered with (2)

→ S••••• P• S•••••• L•••Registered adviserregistration: current employment
Nov 25, 2014 to presentfactForm ADV
→ O••••••••• • C•• I•••Registered adviserregistration: previous registration
Apr 22, 2005 to Jan 5, 2016factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:fcf4ba9e-1631-cb33-baf2-bbed3cf42bfd
First observed: Apr 22, 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.