DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)29 years in industry

D••••• S•••••• K••••

Advisor at C••••• I••••••••• A••••••• L••

WOODLAND HILLS, CA

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 6:50 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Dec 10, 1998 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: C••••• I••••••••• A••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Jul 25, 1997earliest registration or exam on IAPD
Years in industry: 29derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••••• I••••••••• A••••••• L••	Bd affiliated wealth	Mar 21, 2024	n/a	yes	WOODLAND HILLS, CA	Current employment
P•••••• W••• F•••••••• C••••••••• I••	Former SEC adviser	Sep 3, 2010	Feb 28, 2012	no	RENTON, WA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
P•••••• W••• F•••••••• C••••••••• I••	C••••• I••••••••• A••••••• L••	Feb 28, 2012	Mar 21, 2024	4,405	Firm change after gap	Other
C••••••• W••••• • C••	P•••••• W••• F•••••••• C••••••••• I••	Sep 16, 2010	Sep 3, 2010

Relationships

Registered with (5)

→ C••••• I••••••••• A••••••• L••Registered adviserregistration: current employment
Mar 21, 2024 to presentfactForm ADV
→ P•••••• W••• F•••••••• C••••••••• I••Registered adviserregistration: previous registration
Sep 3, 2010 to Feb 28, 2012factForm ADV
→ C••••••• W••••• • C••Registered adviserregistration: previous registration
Jan 17, 2008 to Sep 16, 2010factForm ADV
→ P•••••• A•••• M••••••••• I••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Dec 10, 1998
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.