DFX Intelligence

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

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RIA / WealthAdvisor30 years in industry

K•••••• M••••••••

Advisor at E•••••• W••••• M•••••••••

SANTA CRUZ, CA

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Search this name across graphsid dfx:ria:54cc8c2b-0df8-f7ad-9232-1aa2f04ea4b9

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:09 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Dec 15, 1997 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: E•••••• W••••• M•••••••••
Current firm class: state registeredderived
Book size: not public••• Locked
Industry start: Feb 21, 1996earliest registration or exam on IAPD
Years in industry: 30derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
E•••••• W••••• M•••••••••	State registered	Jan 15, 2019	n/a	yes	SANTA CRUZ, CA	Current employment
I••••••• W••••• M•••••••••	Independent wealth	Jan 27, 2010	Feb 25, 2019	no	TURLOCK, CA\|MODESTO, CA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
I••••••• W••••• M•••••••••	E•••••• W••••• M•••••••••	Feb 25, 2019	Jan 15, 2019	-41	Firm change after gap	RIA to state RIA
M••••• S••••••	I••••••• W••••• M•••••••••	Oct 8, 2009	Jan 27, 2010

Relationships

Registered with (5)

→ E•••••• W••••• M•••••••••Registered adviserregistration: current employment
Jan 15, 2019 to presentfactForm ADV
→ I••••••• W••••• M•••••••••Registered adviserregistration: previous registration
Jan 27, 2010 to Feb 25, 2019factForm ADV
→ M••••• S••••••Registered adviserregistration: previous registration
Jun 1, 2009 to Oct 8, 2009factForm ADV
→ C•••••••• G••••• M•••••• I•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:54cc8c2b-0df8-f7ad-9232-1aa2f04ea4b9
First observed: Dec 15, 1997
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.