DFX Intelligence

N•••••• K• P•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisor25 years in industry

N•••••• K• P•••••

Advisor at F•••• P••••••• W•••••• L••

San Jose, CA | ST. LOUIS, MO

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Search this name across graphsid dfx:ria:292e9cfd-35b5-1a12-f6d0-729cb33c8568

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:48 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Mar 12, 2012 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: F•••• P••••••• W•••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Feb 1, 2001earliest registration or exam on IAPD
Years in industry: 25derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
F•••• P••••••• W•••••• L••	Independent wealth	Jul 1, 2024	n/a	yes	San Jose, CA\|ST. LOUIS, MO	Current employment
B••••••••• S•••••••• W•••••• L••	Former SEC adviser	Jul 2, 2020	Nov 14, 2024	no	San Jose, CA\|ST LOUIS, MO

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
B••••••••• S•••••••• W•••••• L••	F•••• P••••••• W•••••• L••	Nov 14, 2024	Jul 1, 2024	-136	Bulk transfer	RIA to RIA
F•••• A•••••• S••••••••• L••	B••••••••• S•••••••• W•••••• L••	Jul 2, 2020	Jul 2, 2020

Team moves

••• Locked

Team	Left	Joined	From	Kind
111861:143319:CA:2018-12-13	Dec 13, 2018	Dec 13, 2018	SAN JOSE, CA	Firm change

Relationships

Registered with (4)

→ F•••• P••••••• W•••••• L••Registered adviserregistration: current employment
Jul 1, 2024 to presentfactForm ADV
→ B••••••••• S•••••••• W•••••• L••Registered adviserregistration: previous registration
Jul 2, 2020 to Nov 14, 2024factForm ADV
→ F•••• A•••••• S••••••••• L••Registered adviserregistration: previous registration
Dec 13, 2018 to Jul 2, 2020factForm ADV
→ L•• F•••••••• I•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:292e9cfd-35b5-1a12-f6d0-729cb33c8568
First observed: Mar 12, 2012
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.