DFX Intelligence

R••• T••••••• H•••: advisor on the ria / wealth management graph | DFX Data Factory

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthAdvisordual registered (broker-dealer)14 years in industry

R••• T••••••• H•••

Advisor at K••••• A••••••• S•••••••• L••

Tempe, AZ | Phoenix, AZ

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:6fdaf9c0-6751-4495-673e-53860a9c765f

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 9:02 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 1
On other graphs: 0
Observed: Mar 5, 2025 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••••• A••••••• S•••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Aug 1, 2012earliest registration or exam on IAPD
Years in industry: 14derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
K••••• A••••••• S•••••••• L••	Bd affiliated wealth	Dec 8, 2025	n/a	yes	Phoenix, AZ\|Tempe, AZ	Current employment
K•••••• F•••••••• G••••• L••	Independent wealth	Mar 5, 2025	Oct 1, 2025	no	PEORIA, AZ	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
K•••••• F•••••••• G••••• L••	K••••• A••••••• S•••••••• L••	Oct 1, 2025	Dec 8, 2025	68	Firm change	RIA to ibd

Relationships

Registered with (2)

→ K••••• A••••••• S•••••••• L••Registered adviserregistration: current employment
Dec 8, 2025 to presentfactForm ADV
→ K•••••• F•••••••• G••••• L••Registered adviserregistration: previous registration
Mar 5, 2025 to Oct 1, 2025factForm ADV

Dated events

Occurred
Oct 1, 2025
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:6fdaf9c0-6751-4495-673e-53860a9c765f
First observed: Mar 5, 2025
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.