DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)34 years in industry

K•••••• J••• D•••••••

Advisor at P••••••••• S••••••••• C•••••••••

Westminster, CA | Carpinteria, CA

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Search this name across graphsid dfx:ria:75380db9-f3a1-f0c0-d4e9-7364c8e05d1b

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 3:11 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Jun 25, 2001 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••••••••• S••••••••• C•••••••••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Apr 9, 1992earliest registration or exam on IAPD
Years in industry: 34derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
P••••••••• S••••••••• C•••••••••	Independent wealth	Jan 31, 2019	n/a	yes	Carpinteria, CA\|Westminster, CA	Current employment
N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••	Former SEC adviser	Aug 19, 2014	Apr 26, 2017	no	El Segundo, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••	P••••••••• S••••••••• C•••••••••	Apr 26, 2017	Jan 31, 2019	645	Firm change after gap	Other
M••••• S••••••	N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••	Jun 17, 2013

Relationships

Registered with (6)

→ P••••••••• S••••••••• C•••••••••Registered adviserregistration: current employment
Jan 31, 2019 to presentfactForm ADV
→ N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••Registered adviserregistration: previous registration
Aug 19, 2014 to Apr 26, 2017factForm ADV
→ M••••• S••••••Registered adviserregistration: previous registration
Apr 18, 2011 to Jun 17, 2013factForm ADV
→ W•••• F•••• A•••••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:75380db9-f3a1-f0c0-d4e9-7364c8e05d1b
First observed: Jun 25, 2001
Last observed: Sep 15, 2026 8 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.