DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)38 years in industry

R•••••• K•••• F••••

Advisor at V••••••• A•••••••• I•••

SCOTTSDALE, AZ

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 5:22 PM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 1
On other graphs: 0
Observed: Jan 8, 2003 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: V••••••• A•••••••• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Dec 2, 1987earliest registration or exam on IAPD
Years in industry: 38derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 7

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
V••••••• A•••••••• I•••	Bd affiliated wealth	Dec 12, 2025	n/a	yes	SCOTTSDALE, AZ	Current employment
E•••••• A••••••• G••••• L••	Bd affiliated wealth	Jul 16, 2019	Nov 19, 2025	no	LAGUNA NIGUEL, CA\|GREENWOOD VILLAGE, CO\|Gilbert, AZ

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
E•••••• A••••••• G••••• L••	V••••••• A•••••••• I•••	Nov 19, 2025	Dec 12, 2025	23	Firm change	Ibd to ibd
W•••• F•••• A•••••••	E•••••• A••••••• G••••• L••	Jan 30, 2018	Jul 16, 2019

Relationships

Registered with (8)

→ V••••••• A•••••••• I•••Registered adviserregistration: current employment
Dec 12, 2025 to presentfactForm ADV
→ E•••••• A••••••• G••••• L••Registered adviserregistration: previous registration
Jul 16, 2019 to Nov 19, 2025factForm ADV
→ W•••• F•••• A•••••••Registered adviserregistration: previous registration
Sep 18, 2013 to Jan 30, 2018factForm ADV
→ K•• I••••••••• S••••••• L••

Dated events

Occurred
Nov 19, 2025
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Jan 8, 2003
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.