DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Planner|Chartered Financial Consultantdual registered (broker-dealer)28 years in industry

R•••••• M••• P•••••

Advisor at K•••••• W••••• I••••••••• A•••••••• L••

Mentor, OH | WESTLAKE, OH

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Search this name across graphsid dfx:ria:5764b3b2-9197-82a6-b5e2-76edbbe6057e

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 1:48 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Feb 27, 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: K•••••• W••••• I••••••••• A•••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Feb 16, 1998earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
K•••••• W••••• I••••••••• A•••••••• L••	Independent wealth	Dec 14, 2020	n/a	yes	Mentor, OH\|WESTLAKE, OH	Current employment
S••••••• F•••••••• S••••••• L••	n/a	Apr 17, 2003	Jun 30, 2003	no	CLEVELAND, OH

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M•• I•••••••• S•••••••• L••	S••••••• F•••••••• S••••••• L••	Sep 24, 2004	Apr 17, 2003	-526	Firm change after gap	Other
S••••••• F•••••••• S••••••• L••	K•••••• W••••• I••••••••• A•••••••• L••	Jun 30, 2003	Dec 14, 2020

Relationships

Registered with (3)

→ K•••••• W••••• I••••••••• A•••••••• L••Registered adviserregistration: current employment
Dec 14, 2020 to presentfactForm ADV
→ M•• I•••••••• S•••••••• L••Registered adviserregistration: previous registration
Feb 27, 2003 to Sep 24, 2004factForm ADV
→ S••••••• F•••••••• S••••••• L••Registered adviserregistration: previous registration
Apr 17, 2003 to Jun 30, 2003factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:5764b3b2-9197-82a6-b5e2-76edbbe6057e
First observed: Feb 27, 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.