DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)27 years in industry

K••• A••••• E••••••

Advisor at G••••• S•••• W••••• M••••••••• L••

POWELL, WY

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Search this name across graphsid dfx:ria:8de19737-3e09-2483-c120-92db80904951

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 3:19 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Jan 26, 1999 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: G••••• S•••• W••••• M••••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Sep 28, 1998earliest registration or exam on IAPD
Years in industry: 27derivedfrom the industry start date
Years at current firm: 8derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
G••••• S•••• W••••• M••••••••• L••	I•••••••••_WEALTH	Sep 4, 2018	n/a	yes	POWELL, WY	Current employment
I••••••••• F•••••••• P•••••••	Bd affiliated wealth	Nov 24, 2010	Sep 5, 2018	no	VICTORVILLE, CA\|Victorville, CA\|Riverside, CA\|Apple Valley, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
I••••••••• F•••••••• P•••••••	G••••• S•••• W••••• M••••••••• L••	Sep 5, 2018	Sep 4, 2018	-1	Firm change	Ibd to RIA
N•• A•••••••• I•••	I••••••••• F•••••••• P•••••••	Dec 1, 2010	Nov 24, 2010

Team moves

••• Locked

Team	Left	Joined	From	Kind
125112:167995:CA:2018-09-05	Sep 5, 2018	Sep 4, 2018	APPLE VALLEY, CA	Firm change

Relationships

Registered with (5)

→ G••••• S•••• W••••• M••••••••• L••Registered adviserregistration: current employment
Sep 4, 2018 to presentfactForm ADV
→ I••••••••• F•••••••• P•••••••Registered adviserregistration: previous registration
Nov 24, 2010 to Sep 5, 2018factForm ADV
→ N•• A•••••••• I•••Registered adviserregistration: previous registration
Sep 21, 2009 to Dec 1, 2010factForm ADV
→ W•••• F•••• A•••••••Registered adviser

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:8de19737-3e09-2483-c120-92db80904951
First observed: Jan 26, 1999
Last observed: Sep 14, 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.