DFX Intelligence

M••••••• L• C••••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)18 years in industry

M••••••• L• C••••••••

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

SAN DIEGO, CA | Roseville, CA

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 9:07 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 2
On other graphs: 0
Observed: Oct 3, 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: K•••••••• W••••• A•••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Oct 1, 2007earliest registration or exam on IAPD
Years in industry: 18derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
K•••••••• W••••• A•••••••• L••	Bd affiliated wealth	Jan 11, 2023	n/a	yes	Roseville, CA\|SAN DIEGO, CA	Current employment
R•••••••• A•••••••	Independent wealth	Feb 16, 2022	Mar 2, 2023	no	ROSEVILLE, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
R•••••••• A•••••••	K•••••••• W••••• A•••••••• L••	Mar 2, 2023	Jan 11, 2023	-50	Firm change after gap	RIA to RIA
H••••• R••••	R•••••••• A•••••••	Mar 31, 2022	Feb 16, 2022

Team moves

••• Locked

Team	Left	Joined	From	Kind
299575:288792:CA:2023-03-02	Mar 2, 2023	Jan 11, 2023	ROSEVILLE, CA	Firm change after gap
11025:170037:CA:2017-03-24	Mar 24, 2017	Jul 31, 2018	ROSEVILLE, CA	Firm change after gap

Relationships

Registered with (5)

→ K•••••••• W••••• A•••••••• L••Registered adviserregistration: current employment
Jan 11, 2023 to presentfactForm ADV
→ R•••••••• A•••••••Registered adviserregistration: previous registration
Feb 16, 2022 to Mar 2, 2023factForm ADV
→ H••••• R••••Registered adviserregistration: previous registration
Jul 31, 2018 to Mar 31, 2022factForm ADV
→ W•••• F•••• A•••••••

Dated events

Order

Occurred
2 Mar 2023
Advisor changed firm
••• Locked
Form ADV
Occurred
31 Mar 2022
Advisor changed firm
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Oct 3, 2007
Last observed: Sep 14, 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.