DFX Intelligence

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

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RIA / WealthAdvisor42 years in industry

K•• S••••• S•••••••

Advisor at E•••••• F•••••••• E••••••

WALNUT CREEK, CA | GOODYEAR, AZ

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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, 5:28 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 0
On other graphs: 0
Observed: Mar 10, 2003 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: E•••••• F•••••••• E••••••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: May 26, 1984earliest registration or exam on IAPD
Years in industry: 42derivedfrom the industry start date
Years at current firm: 13derivedfrom the current registration's begin date
Prior firms: 6

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
E•••••• F•••••••• E••••••	Independent wealth	Apr 4, 2013	n/a	yes	GOODYEAR, AZ\|WALNUT CREEK, CA	Current employment
B••••••• I••••••••• S•••••••• I••• •••••	Former SEC adviser	Apr 15, 2011	Sep 26, 2012	no	BURLINGAME, CA\|PALO ALTO, CA\|MENLO PARK, CA\|SAN MATEO, CA\|SAN JOSE, CA\|MOUNTAIN VIEW, CA\|SUNNYVALE, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
B••••••• I••••••••• S•••••••• I••• •••••	E•••••• F•••••••• E••••••	Sep 26, 2012	Apr 4, 2013	190	Firm change	Other
W••••••• F•••••••• S•••••••• I•••	B••••••• I••••••••• S•••••••• I••• •••••	Apr 18, 2011	Apr 15, 2011

Relationships

Registered with (7)

→ E•••••• F•••••••• E••••••Registered adviserregistration: current employment
Apr 4, 2013 to presentfactForm ADV
→ B••••••• I••••••••• S•••••••• I••• •••••Registered adviserregistration: previous registration
Apr 15, 2011 to Sep 26, 2012factForm ADV
→ W••••••• F•••••••• S•••••••• I•••Registered adviserregistration: previous registration
Dec 23, 2009 to Apr 18, 2011factForm ADV
→ C•••• I••••••••• S••••••• C••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Mar 10, 2003
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.