DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)25 years in industry

K••••••• L••••••• C•••••••

Advisor at U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P••••••

SCOTTSDALE, AZ

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Search this name across graphsid dfx:ria:8a3885fa-1fb3-3d64-2d4f-94cbedd62d72

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 10:50 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Sep 16, 2009 to Sep 14, 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: ••• Locked
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Jul 10, 2001earliest registration or exam on IAPD
Years in industry: 25derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P••••••	Independent wealth	Jan 30, 2026	n/a	yes	SCOTTSDALE, AZ	Current employment
L•• F•••••••• L••	Bd affiliated wealth	Feb 9, 2022	Feb 6, 2026	no	FORT MILL, SC\|GRAND PRAIRIE, TX\|CEDAR HILL, TX

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
L•• F•••••••• L••	U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P••••••	Feb 6, 2026	Jan 30, 2026	-7	Firm change	Ibd to RIA
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	L•• F•••••••• L••	Jul 3, 2012	Nov 18, 2015

Relationships

Registered with (4)

→ U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P••••••Registered adviserregistration: current employment
Jan 30, 2026 to presentfactForm ADV
→ L•• F•••••••• L••Registered adviserregistration: previous registration
Feb 9, 2022 to Feb 6, 2026factForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Registered adviserregistration: previous registration
Oct 23, 2009 to Jul 3, 2012factForm ADV
→ B••• O• A•••••• I••••••••• S•••••••• I•••

Dated events

Occurred
Feb 6, 2026
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:8a3885fa-1fb3-3d64-2d4f-94cbedd62d72
First observed: Sep 16, 2009
Last observed: Sep 14, 2026 9 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.