DFX Intelligence

N••••• L•• A•••••••: 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

N••••• L•• A•••••••

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

SAN DIEGO, CA | Phoenix, AZ

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 9:00 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Aug 20, 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: Apr 1, 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: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
K•••••••• W••••• A•••••••• L••	Bd affiliated wealth	Nov 7, 2018	n/a	yes	Phoenix, AZ\|SAN DIEGO, CA	Current employment
F•••• A••••• A••••••• S•••••••• I•••	Former SEC adviser	Mar 11, 2014	Aug 30, 2018	no	PHOENIX, AZ

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
F•••• A••••• A••••••• S•••••••• I•••	K•••••••• W••••• A•••••••• L••	Aug 30, 2018	Nov 7, 2018	69	Firm change	Ibd to RIA
U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P••••••	F•••• A••••• A••••••• S•••••••• I•••	Feb 3, 2014

Relationships

Registered with (3)

→ K•••••••• W••••• A•••••••• L••Registered adviserregistration: current employment
Nov 7, 2018 to presentfactForm ADV
→ F•••• A••••• A••••••• S•••••••• I•••Registered adviserregistration: previous registration
Mar 11, 2014 to Aug 30, 2018factForm ADV
→ U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P••••••Registered adviserregistration: previous registration
Aug 20, 2007 to Feb 3, 2014factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Aug 20, 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.