W••• K• L••••

Advisor at S•••••• P••••••• I••••••••• A•••••••• L••

••• Locked

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 graphsid dfx:ria:fe4296e5-5768-86c9-eef3-08f8e340d878

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 5:13 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 2
On other graphs: 0
Observed: Oct 19, 2023 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: S•••••• P••••••• I••••••••• A•••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Jul 1, 2016earliest registration or exam on IAPD
Years in industry: 10derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S•••••• P••••••• I••••••••• A•••••••• L••	Bd affiliated wealth	Jun 15, 2026	n/a	yes	STAMFORD, CT\|Sarasota, FL\|Bradenton, FL	Current employment
U•• F•••••••• S••••••• I•••	Wirehouse	Jun 11, 2024	Jun 16, 2026	no	SARASOTA, FL

Moves

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From	To	Left	Joined	Gap, days	Kind	Move type
U•• F•••••••• S••••••• I•••	S•••••• P••••••• I••••••••• A•••••••• L••	Jun 16, 2026	Jun 15, 2026	-1	Firm change	Wirehouse to ibd
M••••• S••••••	U•• F•••••••• S••••••• I•••	Feb 13, 2024	Jun 11, 2024

Team moves

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Team	Left	Joined	From	Kind
8174:283004:FL:2026-06-16	Jun 16, 2026	Jun 15, 2026	SARASOTA, FL	Firm change

Relationships

Registered with (3)

→ S•••••• P••••••• I••••••••• A•••••••• L••Registered adviserregistration: current employment
Jun 15, 2026 to presentfactForm ADV
→ U•• F•••••••• S••••••• I•••Registered adviserregistration: previous registration
Jun 11, 2024 to Jun 16, 2026factForm ADV
→ M••••• S••••••Registered adviserregistration: previous registration
Oct 19, 2023 to Feb 13, 2024factForm ADV

Dated events

Occurred
Jun 16, 2026
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Feb 13, 2024
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:fe4296e5-5768-86c9-eef3-08f8e340d878
First observed: Oct 19, 2023
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.