DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)33 years in industry

K•••• E••••• K••••

Advisor at P•• W••••• M•••••••••

••• Locked

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Search this name across graphs

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 9:27 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 2
On other graphs: 0
Observed: Jun 15, 1993 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: P•• W••••• M•••••••••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: May 17, 1993earliest registration or exam on IAPD
Years in industry: 33derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
P•• W••••• M•••••••••	Bd affiliated wealth	Jun 18, 2026	n/a	yes	Basalt, CO\|Glenwood Springs, CO\|Aspen, CO\|Carbondale, CO	Current employment
M•• I•••••••• S•••••••• L••	Bd affiliated wealth	May 27, 2025	Jun 25, 2026	no	Baltimore, MD\|HUNT VALLEY, MD\|Cockeysville, MD

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M•• I•••••••• S•••••••• L••	P•• W••••• M•••••••••	Jun 25, 2026	Jun 18, 2026	-7	Firm change	Ibd to ibd
S•••••••• L••	M•• I•••••••• S•••••••• L••	Jan 2, 2025	May 27, 2025

Relationships

Registered with (5)

→ P•• W••••• M•••••••••Registered adviserregistration: current employment
Jun 18, 2026 to presentfactForm ADV
→ M•• I•••••••• S•••••••• L••Registered adviserregistration: previous registration
May 27, 2025 to Jun 25, 2026factForm ADV
→ S•••••••• L••Registered adviserregistration: previous registration
May 4, 2021 to Jan 2, 2025factForm ADV
→ W•••• F•••• A•••••••

Dated events

Order

Occurred
25 Jun 2026
Advisor changed firm
••• Locked
Form ADV
Occurred
2 Jan 2025
Advisor changed firm
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Jun 15, 1993
Last observed: Sep 15, 2026 8 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.