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

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RIA / WealthAdvisordual registered (broker-dealer)21 years in industry

K••• A••• S•••••••••

Advisor at E••••• J••••

SANTA CRUZ, CA

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Search this name across graphsid dfx:ria:6ba74d34-2ee0-3243-c5bd-b637c352866c

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 12:37 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Feb 9, 2007 to Sep 14, 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: E••••• J••••
Current firm class: national broker-dealer RIAderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Aug 26, 2005earliest registration or exam on IAPD
Years in industry: 21derivedfrom the industry start date
Years at current firm: 8derivedfrom 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
E••••• J••••	National bd RIA	Apr 27, 2018	n/a	yes	SANTA CRUZ, CA	Current employment
W•••••• • R•••	Former SEC adviser	Jun 7, 2013	May 3, 2018	no	SEATTLE, WA\|BELLEVUE, WA\|APTOS, CA\|SEATTLE, WA\|APTOS, CA

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
W•••••• • R•••	E••••• J••••	May 3, 2018	Apr 27, 2018	-6	Firm change	Ibd to ibd
M••••• S••••••	W•••••• • R•••	Jun 28, 2013	Jun 7, 2013

Relationships

Registered with (3)

→ E••••• J••••Registered adviserregistration: previous registration
Feb 9, 2007 to Sep 6, 2011factForm ADV
→ W•••••• • R•••Registered adviserregistration: previous registration
Jun 7, 2013 to May 3, 2018factForm ADV
→ M••••• S••••••Registered adviserregistration: previous registration
Sep 2, 2011 to Jun 28, 2013factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:6ba74d34-2ee0-3243-c5bd-b637c352866c
First observed: Feb 9, 2007
Last observed: Sep 14, 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.