DFX Intelligence

N••• K•••••• B••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorChartered Financial Consultant16 years in industry

N••• K•••••• B••••••

Advisor at D•••••••• A••••••• S•••••••• L••

SOUTH JORDAN, UT | Santa Rosa, CA

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Search this name across graphsid dfx:ria:060ac8cd-7e78-2590-1f36-5886c5f6b443

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:48 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 2
On other graphs: 0
Observed: Jun 14, 2017 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: D•••••••• A••••••• S•••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: May 1, 2010earliest registration or exam on IAPD
Years in industry: 16derivedfrom 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
D•••••••• A••••••• S•••••••• L••	Bd affiliated wealth	Jan 1, 2025	n/a	yes	SOUTH JORDAN, UT\|Santa Rosa, CA	Current employment
D••• I••••••••• L••	Former SEC adviser	Jan 3, 2023	Jan 2, 2024	no	Santa Rosa, CA\|SANDY, UT

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
D••• I••••••••• L••	D•••••••• A••••••• S•••••••• L••	Jan 2, 2024	Jan 1, 2025	365	Firm change	RIA to ibd
E•••• S••••••••• L••	D••• I••••••••• L••	Jan 13, 2023	Jan 3, 2023

Team moves

••• Locked

Team	Left	Joined	From	Kind
155576:326060:UT:2023-12-31	Jan 2, 2024	Jan 1, 2025	SANDY, UT	Firm change
110826:155576:CA:2023-01-13	Jan 13, 2023	Jan 3, 2023	SANTA ROSA, CA	Firm change

Relationships

Registered with (3)

→ D•••••••• A••••••• S•••••••• L••Registered adviserregistration: current employment
Jan 1, 2025 to presentfactForm ADV
→ D••• I••••••••• L••Registered adviserregistration: previous registration
Jan 3, 2023 to Jan 2, 2024factForm ADV
→ E•••• S••••••••• L••Registered adviserregistration: previous registration
Jun 14, 2017 to Jan 13, 2023factForm ADV

Dated events

Occurred
Jan 2, 2024
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago
Occurred
Jan 13, 2023
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:060ac8cd-7e78-2590-1f36-5886c5f6b443
First observed: Jun 14, 2017
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.