DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)26 years in industry

K•••• S•• C•••••••

Advisor at C•••••••

Simi Valley, CA | WESTLAKE VILLAGE, CA

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Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 25, 2026, 8:15 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jul 27, 2000 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: C•••••••
Current firm class: institutional managerderived
Book size: not public••• Locked
Industry start: May 12, 2000earliest registration or exam on IAPD
Years in industry: 26derivedfrom the industry start date
Years at current firm: 11derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C•••••••	Institutional manager	Apr 9, 2015	n/a	yes	WESTLAKE VILLAGE, CA\|Simi Valley, CA	Current employment
F•••••••• T••••••• I•••	Former SEC adviser	Jun 30, 2011	Oct 14, 2011	no	westlake village, CA\|ALISO VIEJO, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
F•••••••• T••••••• I•••	C•••••••	Oct 14, 2011	Apr 9, 2015	1,273	Firm change after gap	Other
W••••••••• R••••••••• A•••••••	F•••••••• T••••••• I•••	Nov 29, 2010	Jun 30, 2011

Relationships

Registered with (4)

→ C•••••••Registered adviserregistration: current employment
Apr 9, 2015 to presentfactForm ADV
→ F•••••••• T••••••• I•••Registered adviserregistration: previous registration
Jun 30, 2011 to Oct 14, 2011factForm ADV
→ W••••••••• R••••••••• A•••••••Registered adviserregistration: previous registration
Dec 6, 2007 to Nov 29, 2010factForm ADV
→ S•••••••• A••••••• L••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Jul 27, 2000
Last observed: Sep 15, 2026 10 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.