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

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RIA / WealthAdvisordual registered (broker-dealer)28 years in industry

K•••••• W•••••• O•••••••

Advisor at U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P••••••

SCOTTSDALE, AZ

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Search this name across graphsid dfx:ria:40bdce3b-76cc-1c9b-6690-80ce2011323a

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:34 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Feb 4, 2002 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: U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P••••••
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Dec 9, 1997earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 14derivedfrom 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
U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P••••••	Independent wealth	Sep 20, 2012	n/a	yes	SCOTTSDALE, AZ	Current employment
C•••••• S••••• • C••• I•••	National bd RIA	Jan 11, 2006	Jan 25, 2010	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
C•••••• S••••• • C••• I•••	U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P••••••	Jan 25, 2010	Sep 20, 2012	969	Firm change after gap	Other
S••••••••• S••••••••• I•••	C•••••• S••••• • C••• I•••	Apr 12, 2004

Relationships

Registered with (3)

→ U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P••••••Registered adviserregistration: current employment
Sep 20, 2012 to presentfactForm ADV
→ C•••••• S••••• • C••• I•••Registered adviserregistration: previous registration
Jan 11, 2006 to Jan 25, 2010factForm ADV
→ S••••••••• S••••••••• I•••Registered adviserregistration: previous registration
Feb 4, 2002 to Apr 12, 2004factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:40bdce3b-76cc-1c9b-6690-80ce2011323a
First observed: Feb 4, 2002
Last observed: Sep 14, 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.