DFX Intelligence

N•••• A••••• D••••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)31 years in industry

N•••• A••••• D••••••••

Advisor at K••••• P•••••• W••••• S•••••••• L••

AUSTIN, TX | LANCASTER, CA

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Search this name across graphsid dfx:ria:638f6b9c-36c1-c9c7-b544-4d77131a9ea5

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:44 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jul 8, 1997 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: K••••• P•••••• W••••• S•••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Jul 19, 1995earliest registration or exam on IAPD
Years in industry: 31derivedfrom the industry start date
Years at current firm: 12derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
K••••• P•••••• W••••• S•••••••• L••	Bd affiliated wealth	Sep 23, 2014	n/a	yes	LANCASTER, CA\|AUSTIN, TX	Current employment
M••••• S••••••	Wirehouse	Jun 1, 2009	Oct 6, 2014	no	PALMDALE, CA\|Pasadena, CA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M••••• S••••••	K••••• P•••••• W••••• S•••••••• L••	Oct 6, 2014	Sep 23, 2014	-13	Firm change	Other
M••••• S•••••• • C•• L••	M••••• S••••••	Jun 1, 2009	Jun 1, 2009

Relationships

Registered with (4)

→ K••••• P•••••• W••••• S•••••••• L••Registered adviserregistration: current employment
Sep 23, 2014 to presentfactForm ADV
→ M••••• S••••••Registered adviserregistration: previous registration
Jun 1, 2009 to Oct 6, 2014factForm ADV
→ M••••• S•••••• • C•• L••Registered adviserregistration: previous registration
Apr 2, 2007 to Jun 1, 2009factForm ADV
→ M••••• S•••••• D• I•••Registered adviserregistration: previous registration

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:638f6b9c-36c1-c9c7-b544-4d77131a9ea5
First observed: Jul 8, 1997
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.