DFX Intelligence

K•• A• R•••••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)34 years in industry

K•• A• R•••••••••

Advisor at O•••• W•••••• I•••

SCOTTSDALE, AZ | HERMOSA BEACH, CA

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Search this name across graphsid dfx:ria:41bd4d14-47ab-60cb-11b2-02af0ba28028

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:01 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
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: O•••• W•••••• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Apr 22, 1992earliest registration or exam on IAPD
Years in industry: 34derivedfrom the industry start date
Years at current firm: 11derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
O•••• W•••••• I•••	Bd affiliated wealth	Mar 16, 2015	n/a	yes	HERMOSA BEACH, CA\|SCOTTSDALE, AZ	Current employment
C••••• A•••••• N••••••• L••	Former SEC adviser	Jun 8, 2011	Oct 1, 2014	no	EL SEGUNDO, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C••••• A•••••• N••••••• L••	O•••• W•••••• I•••	Oct 1, 2014	Mar 16, 2015	166	Firm change	Other
A••••••••• P••••••• I••••••••• A••••••• I••	C••••• A•••••• N••••••• L••	Dec 23, 2009	Jun 8, 2011

Relationships

Registered with (6)

→ O•••• W•••••• I•••Registered adviserregistration: current employment
Mar 16, 2015 to presentfactForm ADV
→ C••••• A•••••• N••••••• L••Registered adviserregistration: previous registration
Jun 8, 2011 to Oct 1, 2014factForm ADV
→ A••••••••• P••••••• I••••••••• A••••••• I••Registered adviserregistration: previous registration
Aug 10, 2005 to Dec 23, 2009factForm ADV
→ A••••••••• S••••••••• C••••Registered adviserregistration: previous registration

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:41bd4d14-47ab-60cb-11b2-02af0ba28028
First observed: Feb 4, 2002
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.