DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Planner28 years in industry

M•••••• B•••• K•••••••

Advisor at C••••• P••••••• L••

NEW YORK, NY | MILL VALLEY, CA

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Search this name across graphsid dfx:ria:8d7508ca-535c-39f3-0455-3d5a4b43bdb6

Data as of Sep 14, 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: 5
Dated events: 1
On other graphs: 0
Observed: Nov 15, 2001 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: C••••• P••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: May 20, 1998earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••••• P••••••• L••	Independent wealth	Oct 25, 2024	n/a	yes	NEW YORK, NY\|MILL VALLEY, CA	Current employment
B••• O•• C•••••• L••	Former SEC adviser	Aug 24, 2009	Nov 5, 2024	no	PALO ALTO, CA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
B••• O•• C•••••• L••	C••••• P••••••• L••	Nov 5, 2024	Oct 25, 2024	-11	Firm change	RIA to RIA
L•••••••• T••••••• A•••• M••••••••• I••	B••• O•• C•••••• L••	Jul 11, 2006	Aug 24, 2009

Relationships

Registered with (5)

→ C••••• P••••••• L••Registered adviserregistration: current employment
Oct 25, 2024 to presentfactForm ADV
→ B••• O•• C•••••• L••Registered adviserregistration: previous registration
Aug 24, 2009 to Nov 5, 2024factForm ADV
→ L•••••••• T••••••• A•••• M••••••••• I••Registered adviserregistration: previous registration
Apr 26, 2005 to Jul 11, 2006factForm ADV
→ W•••• F•••• I••••••••• L••Registered adviser

Dated events

Occurred
Nov 5, 2024
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:8d7508ca-535c-39f3-0455-3d5a4b43bdb6
First observed: Nov 15, 2001
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.