DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)22 years in industry

K•••• W•••••• C•••••••

Advisor at F•••• P•••• C•••••• L••

Dacono, CO

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Search this name across graphsid dfx:ria:3a985b14-fcc8-1a74-549c-07c1376afa0e

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 3:24 PM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 0
On other graphs: 0
Observed: Jul 12, 2004 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•••• P•••• C•••••• L••
Current firm class: former SEC adviserderived
Book size: not public••• Locked
Industry start: Jul 10, 2004earliest registration or exam on IAPD
Years in industry: 22derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 7

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
F•••• P•••• C•••••• L••	Former SEC adviser	Nov 5, 2021	n/a	yes	Dacono, CO	Current employment
G••••• F•••••••• P•••••• C••••••• I•••	Former SEC adviser	Nov 18, 2016	May 5, 2017	no	DACONO, CO\|SARASOTA, FL

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
E••••••• F•••• L••	G••••• F•••••••• P•••••• C••••••• I•••	Apr 8, 2021	Nov 18, 2016	-1,602	Firm change after gap	Other
G••••• F•••••••• P•••••• C••••••• I•••	F•••• P•••• C•••••• L••	May 5, 2017	Nov 5, 2021

Relationships

Registered with (8)

→ F•••• P•••• C•••••• L••Registered adviserregistration: current employment
Nov 5, 2021 to presentfactForm ADV
→ E••••••• F•••• L••Registered adviserregistration: previous registration
Sep 29, 2016 to Apr 8, 2021factForm ADV
→ G••••• F•••••••• P•••••• C••••••• I•••Registered adviserregistration: previous registration
Nov 18, 2016 to May 5, 2017factForm ADV
→ S••••• F•••••••• S•••••••• I•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:3a985b14-fcc8-1a74-549c-07c1376afa0e
First observed: Jul 12, 2004
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.