DFX Intelligence

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

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

D••• T• A•••••••••

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

Carmel, IN | SAN DIEGO, CA

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Search this name across graphsid dfx:ria:861a6ef0-5978-05f8-e2cd-44d12ddbcfdb

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 2:02 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Nov 5, 1998 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: K•••••••• W••••• A•••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Jan 1, 1992earliest registration or exam on IAPD
Years in industry: 34derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
K•••••••• W••••• A•••••••• L••	Bd affiliated wealth	Oct 4, 2022	n/a	yes	SAN DIEGO, CA\|Carmel, IN	Current employment
K•••• M•••••••••	Former SEC adviser	Aug 24, 2016	Sep 1, 2022	no	Carmel, IN\|PONTE VEDRA BEACH, FL

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
K•••• M•••••••••	K•••••••• W••••• A•••••••• L••	Sep 1, 2022	Oct 4, 2022	33	Firm change	Ibd to RIA
V•• A••••••• S•••••••	K•••• M•••••••••	Jul 18, 2016	Aug 24, 2016

Team moves

••• Locked

Team	Left	Joined	From	Kind
133025:288792:FL:2022-09-01	Sep 1, 2022	Oct 4, 2022	PONTE VEDRA BEACH, FL	Firm change

Relationships

Registered with (4)

→ K•••••••• W••••• A•••••••• L••Registered adviserregistration: current employment
Oct 4, 2022 to presentfactForm ADV
→ K•••• M•••••••••Registered adviserregistration: previous registration
Aug 24, 2016 to Sep 1, 2022factForm ADV
→ V•• A••••••• S•••••••Registered adviserregistration: previous registration
May 25, 2007 to Jul 18, 2016factForm ADV
→ R•••••• J•••• F•••••••• S•••••••• I•••Registered adviser

Dated events

Occurred
Sep 1, 2022
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:861a6ef0-5978-05f8-e2cd-44d12ddbcfdb
First observed: Nov 5, 1998
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.