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T••••• E•••••• G••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)29 years in industry

T••••• E•••••• G••••

Advisor at K•••••••• W••••• A•••••••• L••

SAN DIEGO, CA | Waxhaw, NC

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Search this name across graphsid dfx:ria:39231ed0-30bc-2078-e838-0e5ed13c0938

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:46 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Jun 5, 2012 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•••••••• W••••• A•••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Dec 12, 1996earliest registration or exam on IAPD
Years in industry: 29derivedfrom the industry start date
Years at current firm: 4derivedfrom 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
K•••••••• W••••• A•••••••• L••	Bd affiliated wealth	Jan 4, 2022	n/a	yes	Waxhaw, NC\|SAN DIEGO, CA	Current employment
B•••••••• A••••••• S•••••••• L••	No RAUM reported	Aug 25, 2020	Jan 3, 2022	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
B•••••••• A••••••• S•••••••• L••	K•••••••• W••••• A•••••••• L••	Jan 3, 2022	Jan 4, 2022	1	Firm change	RIA to RIA
M••••••••• A•••••••• L•••	B•••••••• A••••••• S•••••••• L••	Aug 31, 2020

Relationships

Registered with (5)

→ K•••••••• W••••• A•••••••• L••Registered adviserregistration: current employment
Jan 4, 2022 to presentfactForm ADV
→ B•••••••• A••••••• S•••••••• L••Registered adviserregistration: previous registration
Aug 25, 2020 to Jan 3, 2022factForm ADV
→ M••••••••• A•••••••• L•••Registered adviserregistration: previous registration
Jan 13, 2020 to Aug 31, 2020factForm ADV
→ L•••••• W••••• M••••••••• L••

Dated events

Occurred
Jan 3, 2022
Advisor changed firm
T••••• E•••••• G•••• left B•••••••• A••••••• S•••••••• L•• for K•••••••• W••••• A•••••••• L•• (registered 2022-01-04)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:39231ed0-30bc-2078-e838-0e5ed13c0938
First observed: Jun 5, 2012
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.