DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Planner13 years in industry

M•••• L•••• K••••

Advisor at P••••••••• C•••••• A•••••••

••• Locked

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Search this name across graphsid dfx:ria:73745cb3-ac5c-c7e1-f29a-dbdf53aa684b

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:53 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Nov 8, 2021 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: P••••••••• C•••••• A•••••••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Nov 20, 2012earliest registration or exam on IAPD
Years in industry: 13derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
P••••••••• C•••••• A•••••••	Independent wealth	Oct 2, 2025	n/a	yes	Stockton, CA\|Pleasanton, CA\|WESTLAKE, OH	Current employment
C••••••• P••••••• I••••••••• A•••••••• L••	I•••••••••_MANAGER	Dec 22, 2021	Apr 15, 2024	no	San Jose, CA\|NEWPORT BEACH, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C••••••• P••••••• I••••••••• A•••••••• L••	P••••••••• C•••••• A•••••••	Apr 15, 2024	Oct 2, 2025	535	Firm change after gap	Other
C•• A•••••••• I•••	C••••••• P••••••• I••••••••• A•••••••• L••	Dec 8, 2021	Dec 22, 2021

Team moves

••• Locked

Team	Left	Joined	From	Kind
133665:126777:CA:2021-12-08	Dec 8, 2021	Dec 22, 2021	SAN JOSE, CA	Firm change

Relationships

Registered with (3)

→ P••••••••• C•••••• A•••••••Registered adviserregistration: current employment
Oct 2, 2025 to presentfactForm ADV
→ C••••••• P••••••• I••••••••• A•••••••• L••Registered adviserregistration: previous registration
Dec 22, 2021 to Apr 15, 2024factForm ADV
→ C•• A•••••••• I•••Registered adviserregistration: previous registration
Nov 8, 2021 to Dec 8, 2021factForm ADV

Dated events

Occurred
Apr 15, 2024
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:73745cb3-ac5c-c7e1-f29a-dbdf53aa684b
First observed: Nov 8, 2021
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.