DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)35 years in industry

K••••• S•• M••• L••

Advisor at T•• S•••••••• F•••••••• A•••••••

Keaau, HI | LARKSPUR, CA

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Search this name across graphsid dfx:ria:12210566-5bb8-8b77-5d10-7a89ec7a89e0

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 9:49 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Aug 25, 1999 to Sep 15, 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: T•• S•••••••• F•••••••• A•••••••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Nov 3, 1990earliest registration or exam on IAPD
Years in industry: 35derivedfrom 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
T•• S•••••••• F•••••••• A•••••••	Bd affiliated wealth	Jan 1, 2025	n/a	yes	LARKSPUR, CA\|Keaau, HI	Current employment
P•••••••• S••••••••• I•••	Bd affiliated wealth	Oct 11, 2002	Jun 8, 2005	no	PEARL CITY , HI

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
P•••••••• S••••••••• I•••	T•• S•••••••• F•••••••• A•••••••	Jun 8, 2005	Jan 1, 2025	7,147	Firm change after gap	Other
N•• E•••••• S••••••••• C•••••••••	P•••••••• S••••••••• I•••	Sep 17, 2002	Oct 11, 2002

Relationships

Registered with (3)

→ T•• S•••••••• F•••••••• A•••••••Registered adviserregistration: current employment
Jan 1, 2025 to presentfactForm ADV
→ P•••••••• S••••••••• I•••Registered adviserregistration: previous registration
Oct 11, 2002 to Jun 8, 2005factForm ADV
→ N•• E•••••• S••••••••• C•••••••••Registered adviserregistration: previous registration
Aug 25, 1999 to Sep 17, 2002factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:12210566-5bb8-8b77-5d10-7a89ec7a89e0
First observed: Aug 25, 1999
Last observed: Sep 15, 2026 7 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.