DFX Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Registered advisor
S••••• K•••• L••••
Feed of 09/15/2026
Also filed as S••••• L••••
At current firm
4 y
since Jan 12, 2022
In the industry
19 y
since Jul 26, 2007 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- L•• F•••••••• L•• BD affiliated currentsince Jan 12, 2022 · Hope, Nj
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedJan 12, 2009 to Jan 18, 2022 · Saint Petersburg, Fl
- R•••••• J•••• F•••••••• S•••••••• I••• unclassifiedJan 9, 2008 to Jan 12, 2009 · Newton, Nj
- E••••• J•••• national BDAug 8, 2007 to Sep 14, 2007 · St Louis, Mo
Moves
a registration end followed by a registration begin elsewhere
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to L•• F•••••••• L••left Jan 18, 2022, registered Jan 12, 2022 (-6 days) · Affiliated broker-dealer or bank to another · moved with a team
- R•••••• J•••• F•••••••• S•••••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Jan 12, 2009, registered Jan 12, 2009 (0 days) · corporate re-registration, not a move
- E••••• J•••• to R•••••• J•••• F•••••••• S•••••••• I•••left Sep 14, 2007, registered Jan 9, 2008 (117 days) · Other
Signals
- ••• LockedJan 18, 2022 · Advisor changed firm · fact
Transition signalsWhat these will draw onThe observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves.Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address