DFX Intelligence

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

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthAdvisordual registered (broker-dealer)19 years in industry

K•••• M•••••• T•••••

Advisor at O•••• W•••••• I•••

Sacramento, CA | ROSEVILLE, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphs

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 11:34 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Feb 9, 2007 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: O•••• W•••••• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Feb 8, 2007earliest registration or exam on IAPD
Years in industry: 19derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
O•••• W•••••• I•••	Bd affiliated wealth	Jan 19, 2024	n/a	yes	Sacramento, CA\|ROSEVILLE, CA	Current employment
W••••••• F•••••••• S•••••••• I•••	Former SEC adviser	Aug 21, 2019	Jan 19, 2024	no	ROSEVILLE, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
W••••••• F•••••••• S•••••••• I•••	O•••• W•••••• I•••	Jan 19, 2024	Jan 19, 2024	0	Bulk transfer	Ibd to ibd
B•••• F••••••••	W••••••• F•••••••• S•••••••• I•••	Nov 19, 2019	Aug 21, 2019

Relationships

Registered with (5)

→ O•••• W•••••• I•••Registered adviserregistration: previous registration
Jan 8, 2014 to Mar 22, 2017factForm ADV
→ W••••••• F•••••••• S•••••••• I•••Registered adviserregistration: previous registration
Aug 21, 2019 to Jan 19, 2024factForm ADV
→ B•••• F••••••••Registered adviserregistration: previous registration
Jun 18, 2018 to Nov 19, 2019factForm ADV
→ G••••••• B•••••• • B••••••• W••••• A•• R••••••••• P••• M•••• L••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Feb 9, 2007
Last observed: Sep 15, 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.