DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)36 years in industry

K•••• G••• B••••

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

••• Locked

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Search this name across graphsid dfx:ria:8b2ea648-21f7-78d2-162d-a5a4d0f1c253

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 10:43 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jul 22, 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: ••• Locked
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Jan 1, 1990earliest registration or exam on IAPD
Years in industry: 36derivedfrom the industry start date
Years at current firm: 15derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S•••••• L••• A•••• M••••••••• L••	Independent wealth	Apr 15, 2025	n/a	yes	HUNTINGTON BEACH, CA	Current employment
U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P••••••	Independent wealth	Jul 20, 2011	n/a	yes	SCOTTSDALE, AZ\|SANTA BARBARA, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
H••••••••• G•••• F•••••••• A•••••••• L••	U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P••••••	Jul 29, 2011	Jul 20, 2011	-9	Firm change	Other
L•• F•••••••• L••	H••••••••• G•••• F•••••••• A•••••••• L••	Dec 1, 2010

Relationships

Registered with (4)

→ S•••••• L••• A•••• M••••••••• L••Registered adviserregistration: current employment
Apr 15, 2025 to presentfactForm ADV
→ U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P••••••Registered adviserregistration: current employment
Jul 20, 2011 to presentfactForm ADV
→ H••••••••• G•••• F•••••••• A•••••••• L••Registered adviserregistration: previous registration
Nov 22, 2010 to Jul 29, 2011factForm ADV
→ L•• F•••••••• L••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:8b2ea648-21f7-78d2-162d-a5a4d0f1c253
First observed: Jul 22, 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.