DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)34 years in industry

K•••• J••• L•••••

Advisor at T•• T••••• F•••• G••••• L••

CUPERTINO, CA

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Search this name across graphsid dfx:ria:93c16908-557f-d6a5-397b-5b96633a13a7

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 5:28 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Feb 24, 1993 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: T•• T••••• F•••• G••••• L••
Current firm class: state registeredderived
Book size: not public••• Locked
Industry start: Mar 2, 1992earliest registration or exam on IAPD
Years in industry: 34derivedfrom the industry start date
Years at current firm: 19derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
T•• T••••• F•••• G••••• L••	State registered	May 8, 2007	n/a	yes	CUPERTINO, CA	Current employment
I••••••••• P••••••• L••	Former SEC adviser	Aug 8, 2011	Jun 3, 2013	no	CARMEL, CA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
I••••••••• P••••••• L••	n/a	Jun 3, 2013	n/a	n/a	Departure no registered destination	Departure
B••• P•••• C••••••• L••	T•• T••••• F•••• G••••• L••	Jun 14, 2010	May 8, 2007	-1,133

Relationships

Registered with (3)

→ T•• T••••• F•••• G••••• L••Registered adviserregistration: current employment
May 8, 2007 to presentfactForm ADV
→ I••••••••• P••••••• L••Registered adviserregistration: previous registration
Aug 8, 2011 to Jun 3, 2013factForm ADV
→ B••• P•••• C••••••• L••Registered adviserregistration: previous registration
Feb 24, 1993 to Jun 14, 2010factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:93c16908-557f-d6a5-397b-5b96633a13a7
First observed: Feb 24, 1993
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.