DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)17 years in industry

K••• K•••• D••••

Advisor at U••• B•••••• A•••••••• L••

••• Locked

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Search this name across graphsid dfx:ria:73788d66-3f12-1637-bd0d-42b2918f357e

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 12:20 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Jul 17, 2023 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: U••• B•••••• A•••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Mar 1, 2009earliest registration or exam on IAPD
Years in industry: 17derivedfrom 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
U••• B•••••• A•••••••• L••	Bd affiliated wealth	Feb 13, 2026	n/a	yes	Incline Village, NV\|Truckee, CA\|S Lake Tahoe, CA\|Tahoe City, CA\|Stateline, NV\|Lincoln, CA\|Auburn, CA\|Colfax, CA	Current employment
U••• B•••••• I••••••••• I•••	Former SEC adviser	Oct 16, 2023	Feb 13, 2026	no

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
U••• B•••••• I••••••••• I•••	U••• B•••••• A•••••••• L••	Feb 13, 2026	Feb 13, 2026	0	Bulk transfer	Ibd to ibd
W•••• F•••• A•••••••	U••• B•••••• I••••••••• I•••	Oct 24, 2023	Oct 16, 2023

Team moves

••• Locked

Team	Left	Joined	From	Kind
19616:17868:CA:2023-10-24	Oct 24, 2023	Oct 16, 2023	ROSEVILLE, CA	Firm change

Relationships

Registered with (3)

→ U••• B•••••• A•••••••• L••Registered adviserregistration: current employment
Feb 13, 2026 to presentfactForm ADV
→ U••• B•••••• I••••••••• I•••Registered adviserregistration: previous registration
Oct 16, 2023 to Feb 13, 2026factForm ADV
→ W•••• F•••• A•••••••Registered adviserregistration: previous registration
Jul 17, 2023 to Oct 24, 2023factForm ADV

Dated events

Occurred
Oct 24, 2023
Advisor changed firm
K••• K•••• D•••• left W•••• F•••• A••••••• for U••• B•••••• I••••••••• I••• (registered 2023-10-16)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:73788d66-3f12-1637-bd0d-42b2918f357e
First observed: Jul 17, 2023
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.