DFX Intelligence

W•••••• K•••••• L••: advisor on the ria / wealth management graph | DFX Data Factory

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

W•••••• K•••••• L••

Advisor at C•••••• S••••• • C••• I•••

Seattle, WA

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 6:47 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 2
On other graphs: 0
Observed: Dec 8, 2021 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: C•••••• S••••• • C••• I•••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Jun 1, 2012earliest registration or exam on IAPD
Years in industry: 14derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C•••••• S••••• • C••• I•••	National bd RIA	Aug 24, 2022	n/a	yes	Seattle, WA	Current employment
E••••• J••••	National bd RIA	May 23, 2022	Jul 11, 2022	no	ST LOUIS, MO\|Bothell, WA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
E••••• J••••	C•••••• S••••• • C••• I•••	Jul 11, 2022	Aug 24, 2022	44	Firm change	Ibd to ibd
W•••• F•••• A•••••••	E••••• J••••	Apr 28, 2022	May 23, 2022

Relationships

Registered with (3)

→ C•••••• S••••• • C••• I•••Registered adviserregistration: current employment
Aug 24, 2022 to presentfactForm ADV
→ E••••• J••••Registered adviserregistration: previous registration
May 23, 2022 to Jul 11, 2022factForm ADV
→ W•••• F•••• A•••••••Registered adviserregistration: previous registration
Dec 8, 2021 to Apr 28, 2022factForm ADV

Dated events

Order

Occurred
11 Jul 2022
Advisor changed firm
••• Locked
Form ADV
Occurred
28 Apr 2022
Advisor changed firm
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Dec 8, 2021
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.