DFX Intelligence

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

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RIA / WealthAdvisorChartered Financial Analyst23 years in industry

K•••• P•••••• W•••••

Advisor at R•• C•••••• M••••••• L••

LA JOLLA, CA

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Search this name across graphsid dfx:ria:3b8f55b0-adb1-2030-399b-8937ab97eed2

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:16 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Oct 24, 2002 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: R•• C•••••• M••••••• L••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Oct 18, 2002earliest registration or exam on IAPD
Years in industry: 23derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
R•• C•••••• M••••••• L••	National bd RIA	Sep 14, 2026	n/a	yes	LA JOLLA, CA	Current employment
C••••••• M••••••••• I••••••••• A•••••••• L••	Asset manager	May 1, 2010	Dec 9, 2021	no	MINNEAPOLIS, MN\|IRVINE, CA\|BOSTON, MA\|ENCINITAS, CA\|Poway, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C••••••• M••••••••• I••••••••• A•••••••• L••	R•• C•••••• M••••••• L••	Dec 9, 2021	Sep 14, 2026	1,740	Firm change after gap	Other
B••• A•••••••• L••	C••••••• M••••••••• I••••••••• A•••••••• L••	May 7, 2010	May 1, 2010

Relationships

Registered with (5)

→ R•• C•••••• M••••••• L••Registered adviserregistration: current employment
Sep 14, 2026 to presentfactForm ADV
→ C••••••• M••••••••• I••••••••• A•••••••• L••Registered adviserregistration: previous registration
May 1, 2010 to Dec 9, 2021factForm ADV
→ B••• A•••••••• L••Registered adviserregistration: previous registration
Feb 11, 2005 to May 7, 2010factForm ADV
→ B•••• D••••••••• L••Registered adviser

Dated events

1 bookkeeping events (roster, classification and holdings changes) folded below

Show 1 bookkeeping events

Occurred
Sep 14, 2026
••• Locked

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:3b8f55b0-adb1-2030-399b-8937ab97eed2
First observed: Oct 24, 2002
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.