DFX Intelligence

P•••• F••••••• S•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorChartered Financial Consultantdual registered (broker-dealer)42 years in industry

P•••• F••••••• S•••••

Advisor at K•••••••• W••••• A•••••••• L••

Chicago, IL | SAN DIEGO, CA

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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 24, 2026, 9:44 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Sep 15, 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•••••••• W••••• A•••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Apr 13, 1984earliest registration or exam on IAPD
Years in industry: 42derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
K•••••••• W••••• A•••••••• L••	Bd affiliated wealth	Mar 1, 2019	n/a	yes	Chicago, IL\|SAN DIEGO, CA	Current employment
C•••••••• I••••••••• R••••••• A•••••••• I•••	Bd affiliated wealth	Feb 25, 2011	Mar 11, 2019	no	CHICAGO, IL\|CHICAGO, IL

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C•••••••• I••••••••• R••••••• A•••••••• I•••	K•••••••• W••••• A•••••••• L••	Mar 11, 2019	Mar 1, 2019	-10	Firm change	Ibd to RIA
V•••••• A•••••••• I•••	C•••••••• I••••••••• R••••••• A•••••••• I•••	Feb 28, 2011	Feb 25, 2011

Relationships

Registered with (4)

→ K•••••••• W••••• A•••••••• L••Registered adviserregistration: current employment
Mar 1, 2019 to presentfactForm ADV
→ C•••••••• I••••••••• R••••••• A•••••••• I•••Registered adviserregistration: previous registration
Feb 25, 2011 to Mar 11, 2019factForm ADV
→ V•••••• A•••••••• I•••Registered adviserregistration: previous registration
Oct 10, 2007 to Feb 28, 2011factForm ADV
→ N•• E•••••• S••••••••• C•••••••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Sep 15, 1997
Last observed: Sep 15, 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.