DFX Intelligence

Data Factory

R•• H•••••• K••••: 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 / WealthAdvisorCertified Financial Planner33 years in industry

R•• H•••••• K••••

Advisor at F•••••••• A••••••• N••••••• I•••

TUSTIN, 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 graphsid dfx:ria:304ee7fe-967d-8c67-a2ca-fa58a7f751b7

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:39 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Sep 28, 1999 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: F•••••••• A••••••• N••••••• I•••
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Feb 10, 1993earliest registration or exam on IAPD
Years in industry: 33derivedfrom the industry start date
Years at current firm: 13derivedfrom the current registration's begin date
Prior firms

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
F•••••••• A••••••• N••••••• I•••	Independent wealth	Mar 21, 2013	n/a	yes	TUSTIN, CA	Current employment
F•••••••• A••••••• N••••••• I•••	Independent wealth	Mar 9, 2010	Dec 31, 2010	no

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
L•• F•••••••• L••	T•• F•••••••• A••••••• N••••••	Oct 27, 2011	Jan 2, 2004	-2,855	Firm change after gap	Other
T•• F•••••••• A••••••• N••••••	F•••••••• A••••••• N••••••• I•••	Feb 3, 2008

Relationships

Registered with (3)

→ F•••••••• A••••••• N••••••• I•••Registered adviserregistration: previous registration
Mar 9, 2010 to Dec 31, 2010factForm ADV
→ L•• F•••••••• L••Registered adviserregistration: previous registration
Sep 28, 1999 to Oct 27, 2011factForm ADV
→ T•• F•••••••• A••••••• N••••••Registered adviserregistration: previous registration
Jan 2, 2004 to Feb 3, 2008factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:304ee7fe-967d-8c67-a2ca-fa58a7f751b7
First observed: Sep 28, 1999
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.