DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)42 years in industry

R•••••• M••• M••••••••

Advisor at K••••• P•••••• W••••• S•••••••• L••

••• Locked

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Search this name across graphsid dfx:ria:14278083-e0a2-0773-ee62-d6319b151a34

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 11:51 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Jan 25, 2001 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: K••••• P•••••• W••••• S•••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Jun 27, 1984earliest registration or exam on IAPD
Years in industry: 42derivedfrom the industry start date
Years at current firm: 14derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
K••••• P•••••• W••••• S•••••••• L••	Bd affiliated wealth	Apr 27, 2012	n/a	yes	CLINTON, MT\|AUSTIN, TX\|Calabasas, CA	Current employment
W•••• F•••• A•••••••	Wirehouse	Apr 27, 2007	May 1, 2012	no	CLINTON, MT\|WOODLAND HILLS, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
W•••• F•••• A•••••••	K••••• P•••••• W••••• S•••••••• L••	May 1, 2012	Apr 27, 2012	-4	Firm change	Other
C•••••••• G••••• M•••••• I•••	W•••• F•••• A•••••••	May 8, 2007	Apr 27, 2007

Relationships

Registered with (3)

→ K••••• P•••••• W••••• S•••••••• L••Registered adviserregistration: current employment
Apr 27, 2012 to presentfactForm ADV
→ W•••• F•••• A•••••••Registered adviserregistration: previous registration
Apr 27, 2007 to May 1, 2012factForm ADV
→ C•••••••• G••••• M•••••• I•••Registered adviserregistration: previous registration
Jan 25, 2001 to May 8, 2007factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:14278083-e0a2-0773-ee62-d6319b151a34
First observed: Jan 25, 2001
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.