H•••• J•• K••

Advisor at D•••••••• A••••••• S•••••••• L••

LOS ANGELES, CA | SOUTH JORDAN, UT

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:3291f069-7f3f-2784-18fa-4d8089084692

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:40 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 2
On other graphs: 0
Observed: Mar 25, 2005 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: D•••••••• A••••••• S•••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Mar 24, 2005earliest 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: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
D•••••••• A••••••• S•••••••• L••	Bd affiliated wealth	Sep 13, 2023	n/a	yes	SOUTH JORDAN, UT\|LOS ANGELES, CA	Current employment
D••• I••••••••• L••	Former SEC adviser	Aug 25, 2023	Dec 31, 2023	no	SANDY, UT\|LOS ANGELES, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
D••• I••••••••• L••	D•••••••• A••••••• S•••••••• L••	Dec 31, 2023	Sep 13, 2023	-109	Firm change after gap	RIA to ibd
K•• C•••••• M••••••••• L••	D••• I••••••••• L••	Dec 31, 2023	Aug 25, 2023

Team moves

••• Locked

Team	Left	Joined	From	Kind
155576:326060:CA:2023-12-22	Dec 31, 2023	Sep 13, 2023	LOS ANGELES, CA	Firm change after gap
170571:155576:CA:2023-12-31	Dec 31, 2023	Aug 25, 2023	LOS ANGELES, CA	Firm change after gap

Relationships

Registered with (4)

→ D•••••••• A••••••• S•••••••• L••Registered adviserregistration: current employment
Sep 13, 2023 to presentfactForm ADV
→ D••• I••••••••• L••Registered adviserregistration: previous registration
Aug 25, 2023 to Dec 31, 2023factForm ADV
→ K•• C•••••• M••••••••• L••Registered adviserregistration: previous registration
Apr 25, 2014 to Dec 31, 2023factForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••

Dated events

Occurred
Dec 31, 2023
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Dec 31, 2023
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:3291f069-7f3f-2784-18fa-4d8089084692
First observed: Mar 25, 2005
Last observed: Sep 14, 2026 9 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.