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

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)42 years in industry

K•••• F•••••• C••••

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

ST HELENA, CA | EL CERRITO, CA | PLYMOUTH, MN | WALNUT CREEK, CA | RENO, NV

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:652a5191-6808-4ffe-8b48-6a6b3e204aa3

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 12:36 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 2
On other graphs: 0
Observed: Apr 14, 2003 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 publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jun 1, 1984earliest registration or exam on IAPD
Years in industry: 42derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
W••••• E••••••••• A••••••• S•••••••• L••	Bd affiliated wealth	Apr 4, 2022	n/a	yes	RENO, NV\|EL CERRITO, CA\|ST HELENA, CA\|PLYMOUTH, MN\|RENO, NV\|WALNUT CREEK, CA	Current employment
T••••••• I••••••••• A•••••••• I•••	Former SEC adviser	Feb 25, 2022	Jun 17, 2022

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
N••• V••••• W••••• M•••••••••	W••••• E••••••••• A••••••• S•••••••• L••	Jun 17, 2022	Apr 4, 2022	-74	Firm change after gap	RIA to ibd
T••••••• I••••••••• A•••••••• I•••	N••• V••••• W••••• M•••••••••	Jun 17, 2022

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
13572:121158:CA:2016-10-20	Oct 20, 2016	Jul 21, 2008	SAN RAMON, CA	Firm change after gap

Relationships

Registered with (5)

→ W••••• E••••••••• A••••••• S•••••••• L••Registered adviserregistration: current employment
Apr 4, 2022 to presentfactForm ADV
→ N••• V••••• W••••• M•••••••••Registered adviserregistration: previous registration
Feb 25, 2022 to Jun 17, 2022factForm ADV
→ T••••••• I••••••••• A•••••••• I•••Registered adviserregistration: previous registration
Feb 25, 2022 to Jun 17, 2022factForm ADV
→ C••••• A•••••• N••••••• L••

Dated events

Occurred
Jun 17, 2022
A•••••• firm change
K•••• F•••••• C•••• left N••• V••••• W••••• M••••••••• for W••••• E••••••••• A••••••• S•••••••• L•• (registered 2022-04-04)
Form ADVobserved 6 days ago
Occurred
Jun 17, 2022
A•••••• firm change
K•••• F•••••• C•••• left T••••••• I••••••••• A•••••••• I••• for N••• V••••• W••••• M••••••••• (registered 2022-02-25)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:652a5191-6808-4ffe-8b48-6a6b3e204aa3
First observed: Apr 14, 2003
Last observed: Sep 15, 2026 7 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.