DFX Intelligence

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

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RIA / WealthAdvisorChartered Financial Analyst21 years in industry

K••• C••••••••• G•••

Advisor at P••••••• A•••••••• L••

SCOTTSDALE, AZ | SAN FRANCISCO, 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:31087aea-88e0-9677-a0bb-e2c67071bfbd

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 9:24 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Jan 3, 2005 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: P••••••• A•••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Nov 1, 2004earliest registration or exam on IAPD
Years in industry: 21derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
P••••••• A•••••••• L••	Independent wealth	Jan 23, 2023	n/a	yes	SAN FRANCISCO, CA\|SCOTTSDALE, AZ	Current employment
R•••••••• S•••••• E• C••	n/a	Sep 15, 2009	Dec 31, 2011	no	SCOTTSDALE, AZ

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
A•••• A•••• M••••••••• L••	R•••••••• S•••••• E• C••	Feb 21, 2023	Sep 15, 2009	-4,907	Firm change after gap	Other
R•••••••• S•••••• E• C••	P••••••• A•••••••• L••	Dec 31, 2011	Jan 23, 2023

Team moves

••• Locked

Team	Left	Joined	From	Kind
118439:106200:AZ:2023-02-21	Feb 21, 2023	Sep 15, 2009	SCOTTSDALE, AZ	Firm change after gap

Relationships

Registered with (3)

→ P••••••• A•••••••• L••Registered adviserregistration: current employment
Jan 23, 2023 to presentfactForm ADV
→ A•••• A•••• M••••••••• L••Registered adviserregistration: previous registration
Jan 3, 2005 to Feb 21, 2023factForm ADV
→ R•••••••• S•••••• E• C••Registered adviserregistration: previous registration
Sep 15, 2009 to Dec 31, 2011factForm ADV

Dated events

Occurred
Feb 21, 2023
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:31087aea-88e0-9677-a0bb-e2c67071bfbd
First observed: Jan 3, 2005
Last observed: Sep 15, 2026 7 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.