DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)40 years in industry

P••• K•••••• K••••••

Advisor at W•••• F•••• A•••••••

WESTLAKE VILLAGE, CA

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Search this name across graphsid dfx:ria:299ea9d1-8d83-0894-4f50-a14836e5c5ad

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 1:06 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
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 14, 1985earliest registration or exam on IAPD
Years in industry: 40derivedfrom the industry start date
Years at current firm: 11derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
W•••• F•••• A•••••••	Wirehouse	Sep 24, 2014	n/a	yes	WESTLAKE VILLAGE, CA	Current employment
D••• D••••••• • C••	Independent wealth	Nov 25, 2013	Sep 26, 2014	no	WESTLAKE VILLAGE, CA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
D••• D••••••• • C••	W•••• F•••• A•••••••	Sep 26, 2014	Sep 24, 2014	-2	Firm change	Other
C•••••• W••••• • C••	D••• D••••••• • C••	Nov 25, 2013	Nov 25, 2013

Relationships

Registered with (5)

→ W•••• F•••• A•••••••Registered adviserregistration: current employment
Sep 24, 2014 to presentfactForm ADV
→ D••• D••••••• • C••Registered adviserregistration: previous registration
Nov 25, 2013 to Sep 26, 2014factForm ADV
→ C•••••• W••••• • C••Registered adviserregistration: previous registration
Nov 4, 2013 to Nov 25, 2013factForm ADV
→ C••••••• W••••• • C••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:299ea9d1-8d83-0894-4f50-a14836e5c5ad
First observed: Jul 8, 1997
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.