DFX Intelligence

C•••••• D•••• R•••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Planner35 years in industry

C•••••• D•••• R•••••••

Advisor at K••• P••••• L••

Cave Creek, AZ | HUNTSVILLE, AL

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Search this name across graphsid dfx:ria:35bf1271-3ce1-9569-12f1-ccd9e6c0df3a

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:39 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Dec 3, 2003 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: K••• P••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Nov 20, 1990earliest registration or exam on IAPD
Years in industry: 35derivedfrom 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
K••• P••••• L••	Independent wealth	Mar 6, 2023	n/a	yes	Cave Creek, AZ\|HUNTSVILLE, AL	Current employment
S••••••• M••••• L••	Independent wealth	Aug 17, 2015	Jan 27, 2023	no	SCOTTSDALE, AZ	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
S••••••• M••••• L••	K••• P••••• L••	Jan 27, 2023	Mar 6, 2023	38	Firm change	RIA to RIA
W•• A•••••••• L•	S••••••• M••••• L••	Jan 9, 2015	Aug 17, 2015

Relationships

Registered with (4)

→ K••• P••••• L••Registered adviserregistration: current employment
Mar 6, 2023 to presentfactForm ADV
→ S••••••• M••••• L••Registered adviserregistration: previous registration
Aug 17, 2015 to Jan 27, 2023factForm ADV
→ W•• A•••••••• L•Registered adviserregistration: previous registration
May 11, 2011 to Jan 9, 2015factForm ADV
→ N••••••••• M••••• I••••••••• S•••••••••

Dated events

Occurred
Jan 27, 2023
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:35bf1271-3ce1-9569-12f1-ccd9e6c0df3a
First observed: Dec 3, 2003
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.