DFX Intelligence

R•••• R••••• V••••••••: advisor on the ria / wealth management graph | DFX Data Factory

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthAdvisordual registered (broker-dealer)33 years in industry

R•••• R••••• V••••••••

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

SAN DIEGO, CA | Boca Raton, FL

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphs

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 11:14 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 2
On other graphs: 0
Observed: Mar 11, 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: Oct 20, 1992earliest registration or exam on IAPD
Years in industry: 33derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
K•••••••• W••••• A•••••••• L••	Bd affiliated wealth	Jul 24, 2026	n/a	yes	Boca Raton, FL\|SAN DIEGO, CA	Current employment
M••••• S••••••	Wirehouse	Sep 8, 2023	Apr 29, 2026	no	CORAL SPRINGS, FL	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M••••• S••••••	K•••••••• W••••• A•••••••• L••	Apr 29, 2026	Jul 24, 2026	86	Firm change	Wirehouse to ibd
U•• F•••••••• S••••••• I•••	M••••• S••••••	Sep 19, 2023	Sep 8, 2023

Team moves

••• Locked

Team	Left	Joined	From	Kind
149777:288792:FL:2026-04-29	Apr 29, 2026	Jul 24, 2026	CORAL SPRINGS, FL	Firm change
8174:149777:FL:2023-09-19	Sep 19, 2023	Sep 8, 2023	BOCA RATON, FL	Firm change

Relationships

Registered with (5)

→ K•••••••• W••••• A•••••••• L••Registered adviserregistration: current employment
Jul 24, 2026 to presentfactForm ADV
→ M••••• S••••••Registered adviserregistration: previous registration
Sep 8, 2023 to Apr 29, 2026factForm ADV
→ U•• F•••••••• S••••••• I•••Registered adviserregistration: previous registration
Sep 13, 2013 to Sep 19, 2023factForm ADV
→ M••••• S•••••• • C•• L••Registered adviser

Dated events

Order

Occurred
29 Apr 2026
Advisor changed firm
••• Locked
Form ADV
Occurred
19 Sep 2023
Advisor changed firm
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Mar 11, 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.