DFX Intelligence

K••••••••• L•• S••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisor21 years in industry

K••••••••• L•• S••••••

Advisor at C••••• I••••••••• A•••••••• I•••

Parker, CO | ST. AUGUSTINE, FL

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Search this name across graphsid dfx:ria:106f13a6-958d-e08d-7117-5e73996424a5

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 11:54 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Oct 11, 2005 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: C••••• I••••••••• A•••••••• I•••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Oct 29, 2004earliest registration or exam on IAPD
Years in industry: 21derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••••• I••••••••• A•••••••• I•••	I•••••••••_WEALTH	Jul 27, 2026	n/a	yes	Parker, CO\|ST. AUGUSTINE, FL	Current employment
M•• F•••••••• S•••••••• I•••	Former SEC adviser	Nov 11, 2010	May 25, 2012	no	WOODLAND HILLS, CA\|LOS ANGELES, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M•• F•••••••• S•••••••• I•••	C••••• I••••••••• A•••••••• I•••	May 25, 2012	Jul 27, 2026	5,176	Firm change after gap	Other
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	M•• F•••••••• S•••••••• I•••	Nov 2, 2010	Nov 11, 2010

Relationships

Registered with (5)

→ C••••• I••••••••• A•••••••• I•••Registered adviserregistration: current employment
Jul 27, 2026 to presentfactForm ADV
→ M•• F•••••••• S•••••••• I•••Registered adviserregistration: previous registration
Nov 11, 2010 to May 25, 2012factForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Registered adviserregistration: previous registration
Oct 23, 2009 to Nov 2, 2010factForm ADV
→ B••• O• A•••••• I••••••••• S•••••••• I•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:106f13a6-958d-e08d-7117-5e73996424a5
First observed: Oct 11, 2005
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.