DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)33 years in industry

E••••• M•••• K•••••••

Advisor at W•••• F•••• A•••••••

ROLLING HILLS ESTATES, CA

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Search this name across graphsid dfx:ria:24649602-c82a-c9c6-0acc-781521ab109b

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 9:26 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Jul 8, 1997 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: W•••• F•••• A•••••••
Current firm class: wirehousederived
Book size: not public••• Locked
Industry start: Dec 19, 1992earliest registration or exam on IAPD
Years in industry: 33derivedfrom 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
W•••• F•••• A•••••••	Wirehouse	Aug 19, 2025	n/a	yes	ROLLING HILLS ESTATES, CA	Current employment
M••••• S••••••	Wirehouse	Jun 1, 2009	Sep 9, 2025	no	TORRANCE, CA\|Torrance, CA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M••••• S••••••	W•••• F•••• A•••••••	Sep 9, 2025	Aug 19, 2025	-21	Firm change	Wirehouse to wirehouse
M••••• S•••••• • C•• L••	M••••• S••••••	Jun 1, 2009	Jun 1, 2009

Team moves

••• Locked

Team	Left	Joined	From	Kind
149777:19616:CA:2025-09-09	Sep 9, 2025	Aug 19, 2025	TORRANCE, CA	Firm change

Relationships

Registered with (4)

→ W•••• F•••• A•••••••Registered adviserregistration: current employment
Aug 19, 2025 to presentfactForm ADV
→ M••••• S••••••Registered adviserregistration: previous registration
Jun 1, 2009 to Sep 9, 2025factForm ADV
→ M••••• S•••••• • C•• L••Registered adviserregistration: previous registration
Sep 7, 2007 to Jun 1, 2009factForm ADV
→ C•••••••• G••••• M•••••• I•••Registered adviser

Dated events

Occurred
Sep 9, 2025
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:24649602-c82a-c9c6-0acc-781521ab109b
First observed: Jul 8, 1997
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.