DFX Intelligence

K•••• A•••• G••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)16 years in industry

K•••• A•••• G••••

Advisor at U•• F•••••••• S••••••• I•••

••• Locked

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Search this name across graphsid dfx:ria:2814a2e4-acab-8010-f71b-873a2d67f34a

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:08 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Dec 21, 2009 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: U•• F•••••••• S••••••• I•••
Current firm class: wirehousederived
Book size: not public••• Locked
Industry start: Dec 18, 2009earliest registration or exam on IAPD
Years in industry: 16derivedfrom the industry start date
Years at current firm: 10derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
U•• F•••••••• S••••••• I•••	Wirehouse	Nov 16, 2015	n/a	yes	LOS ANGELES, CA\|San Luis Obispo, CA	Current employment
C••••• S••••• S••••••••• •••• L••	Former SEC adviser	Nov 9, 2011	Dec 15, 2015	no	LOS ANGELES, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C••••• S••••• S••••••••• •••• L••	U•• F•••••••• S••••••• I•••	Dec 15, 2015	Nov 16, 2015	-29	Bulk transfer	Other
M••••• S••••••	C••••• S••••• S••••••••• •••• L••	Sep 2, 2011	Nov 9, 2011

Relationships

Registered with (3)

→ U•• F•••••••• S••••••• I•••Registered adviserregistration: current employment
Nov 16, 2015 to presentfactForm ADV
→ C••••• S••••• S••••••••• •••• L••Registered adviserregistration: previous registration
Nov 9, 2011 to Dec 15, 2015factForm ADV
→ M••••• S••••••Registered adviserregistration: previous registration
Dec 21, 2009 to Sep 2, 2011factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:2814a2e4-acab-8010-f71b-873a2d67f34a
First observed: Dec 21, 2009
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.