DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)11 years in industry

K•• A••• B•••••••

Advisor at S•••••••• A••••••• L••

MILPITAS, CA | SAN JOSE, CA

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Search this name across graphsid dfx:ria:0c477fbc-a856-0c8b-f1f5-0130eeb1a790

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:25 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 2
On other graphs: 0
Observed: Jun 21, 2022 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: S•••••••• A••••••• L••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Nov 1, 2014earliest registration or exam on IAPD
Years in industry: 11derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S•••••••• A••••••• L••	National bd RIA	Mar 31, 2025	n/a	yes	MILPITAS, CA\|SAN JOSE, CA	Current employment
F••••••• P••••••• A•• W•••••••• A•••••••	Former SEC adviser	Jan 15, 2025	Mar 31, 2025	no	MILPITAS, CA\|SAN JOSE, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
F••••••• P••••••• A•• W•••••••• A•••••••	S•••••••• A••••••• L••	Mar 31, 2025	Mar 31, 2025	0	Bulk transfer	Ibd to ibd
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	F••••••• P••••••• A•• W•••••••• A•••••••	Dec 9, 2024	Jan 15, 2025

Team moves

••• Locked

Team	Left	Joined	From	Kind
7691:288590:CA:2024-12-09	Dec 9, 2024	Jan 15, 2025	SAN JOSE, CA	Firm change
19616:7691:CA:2022-11-10	Nov 10, 2022	Jan 11, 2023	UNION CITY, CA	Firm change

Relationships

Registered with (4)

→ S•••••••• A••••••• L••Registered adviserregistration: current employment
Mar 31, 2025 to presentfactForm ADV
→ F••••••• P••••••• A•• W•••••••• A•••••••Registered adviserregistration: previous registration
Jan 15, 2025 to Mar 31, 2025factForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Registered adviserregistration: previous registration
Jan 11, 2023 to Dec 9, 2024factForm ADV
→ W•••• F•••• A•••••••

Dated events

Occurred
Dec 9, 2024
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Nov 10, 2022
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:0c477fbc-a856-0c8b-f1f5-0130eeb1a790
First observed: Jun 21, 2022
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.