DFX Intelligence

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

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RIA / WealthAdvisor35 years in industry

K•••••• D••••• M••••

Advisor at A••••••• F••••••••• L•••

SACRAMENTO, CA

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Search this name across graphsid dfx:ria:09fb785c-6041-7747-87ea-dcd326a8e1c2

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 2:24 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Jun 7, 2014 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: A••••••• F••••••••• L•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Oct 1, 1990earliest registration or exam on IAPD
Years in industry: 35derivedfrom the industry start date
Years at current firm: 6derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
A••••••• F••••••••• L•••	Bd affiliated wealth	Jan 7, 2020	n/a	yes	SACRAMENTO, CA	Current employment
R••	Former SEC adviser	Jul 5, 2016	Jan 7, 2020	no	Twin Mountain, NH\|ADDISON, TX	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
R••	A••••••• F••••••••• L•••	Jan 7, 2020	Jan 7, 2020	0	Bulk transfer	RIA to RIA
A•••••• F•••••••• S•••••••• L••	R••	Nov 14, 2016	Jul 5, 2016

Team moves

••• Locked

Team	Left	Joined	From	Kind
110115:108203:GA:2016-11-14	Nov 14, 2016	Jul 5, 2016	WOODSTOCK, GA	Firm change after gap

Relationships

Registered with (3)

→ A••••••• F••••••••• L•••Registered adviserregistration: current employment
Jan 7, 2020 to presentfactForm ADV
→ R••Registered adviserregistration: previous registration
Jul 5, 2016 to Jan 7, 2020factForm ADV
→ A•••••• F•••••••• S•••••••• L••Registered adviserregistration: previous registration
Jun 7, 2014 to Nov 14, 2016factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:09fb785c-6041-7747-87ea-dcd326a8e1c2
First observed: Jun 7, 2014
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.