DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Planner|Chartered Financial Analyst20 years in industry

K••••• D••• B••••••

Advisor at W••••• E••••••••• A••••••• S•••••••• L••

PLYMOUTH, MN | SAN MARINO, CA

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Search this name across graphsid dfx:ria:64596f8c-95aa-1ac6-75d9-cccf6273994f

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 3:31 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Dec 12, 2005 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: W••••• E••••••••• A••••••• S•••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Dec 5, 2005earliest registration or exam on IAPD
Years in industry: 20derivedfrom 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
W••••• E••••••••• A••••••• S•••••••• L••	Bd affiliated wealth	Jun 1, 2021	n/a	yes	PLYMOUTH, MN\|SAN MARINO, CA	Current employment
P••••• P•••••• C•••••• M••••••••• L••	Former SEC adviser	Sep 27, 2016	Jun 4, 2021	no	SAN MARINO, CA\|P••••••A, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
P••••• P•••••• C•••••• M••••••••• L••	W••••• E••••••••• A••••••• S•••••••• L••	Jun 4, 2021	Jun 1, 2021	-3	Firm change	RIA to ibd
M••••••••• • A••••••••• I•••	P••••• P•••••• C•••••• M••••••••• L••	May 1, 2007	Sep 27, 2016

Team moves

••• Locked

Team	Left	Joined	From	Kind
108063:116407:CA:2021-06-04	Jun 4, 2021	Jun 1, 2021	P••••••A, CA	Firm change

Relationships

Registered with (3)

→ W••••• E••••••••• A••••••• S•••••••• L••Registered adviserregistration: current employment
Jun 1, 2021 to presentfactForm ADV
→ P••••• P•••••• C•••••• M••••••••• L••Registered adviserregistration: previous registration
Sep 27, 2016 to Jun 4, 2021factForm ADV
→ M••••••••• • A••••••••• I•••Registered adviserregistration: previous registration
Dec 12, 2005 to May 1, 2007factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:64596f8c-95aa-1ac6-75d9-cccf6273994f
First observed: Dec 12, 2005
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.