DFX Intelligence

K•••• J••••• M•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)26 years in industry

K•••• J••••• M•••••

Advisor at S•••••••• A•••••••• L••

PEWAUKEE, WI

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Search this name across graphsid dfx:ria:fe946a53-2413-5d6c-8489-1cac25e96572

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:41 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 1
Observed: Jul 23, 2003 to Sep 14, 2026

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Venture Capitalidentity

K•••• J••••• M•••••

same person, same CRD on Schedule A · confidence 95% · family precision 100%

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: S•••••••• A•••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Feb 1, 2000earliest registration or exam on IAPD
Years in industry: 26derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S•••••••• A•••••••• L••	Bd affiliated wealth	Nov 2, 2023	n/a	yes	PEWAUKEE, WI	Current employment
B••••• • Y•••• A•••••••• I•••	Former SEC adviser	Feb 25, 2009	May 21, 2012	no	LA VISTA, NE\|FOLSOM, CA\|FOLSOM, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
S••••••••• A•••••• A•••••••• I•••	B••••• • Y•••• A•••••••• I•••	Aug 17, 2020	Feb 25, 2009	-4,191	Firm change after gap	Other
B••••• • Y•••• A•••••••• I•••	S•••••••• A•••••••• L••	May 21, 2012	Nov 2, 2023

Relationships

Registered with (3)

→ S•••••••• A•••••••• L••Registered adviserregistration: current employment
Nov 2, 2023 to presentfactForm ADV
→ S••••••••• A•••••• A•••••••• I•••Registered adviserregistration: previous registration
Jul 23, 2003 to Aug 17, 2020factForm ADV
→ B••••• • Y•••• A•••••••• I•••Registered adviserregistration: previous registration
Feb 25, 2009 to May 21, 2012factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:fe946a53-2413-5d6c-8489-1cac25e96572
First observed: Jul 23, 2003
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.