DFX Intelligence

K•••••• P•••••• W•••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)32 years in industry

K•••••• P•••••• W•••

Advisor at O•••• W•••••• I•••

SAN DIEGO, CA | CARLSBAD, CA

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Search this name across graphsid dfx:ria:9404b73c-0792-faf8-6160-bd5f53e259ac

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 9:19 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Sep 12, 2002 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: O•••• W•••••• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Jun 24, 1994earliest registration or exam on IAPD
Years in industry: 32derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
O•••• W•••••• I•••	Bd affiliated wealth	Jan 19, 2024	n/a	yes	SAN DIEGO, CA\|CARLSBAD, CA	Current employment
W••••••• F•••••••• S•••••••• I•••	Former SEC adviser	Dec 21, 2016	Jan 19, 2024	no	CARLSBAD, CA\|CARLSBAD, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
W••••••• F•••••••• S•••••••• I•••	O•••• W•••••• I•••	Jan 19, 2024	Jan 19, 2024	0	Bulk transfer	Ibd to ibd
S••••••••• A•••••• A•••••••• I•••	W••••••• F•••••••• S•••••••• I•••	Dec 21, 2016	Dec 21, 2016

Relationships

Registered with (4)

→ O•••• W•••••• I•••Registered adviserregistration: current employment
Jan 19, 2024 to presentfactForm ADV
→ W••••••• F•••••••• S•••••••• I•••Registered adviserregistration: previous registration
Dec 21, 2016 to Jan 19, 2024factForm ADV
→ S••••••••• A•••••• A•••••••• I•••Registered adviserregistration: previous registration
Sep 16, 2003 to Dec 21, 2016factForm ADV
→ S••••• S••••••••• C•••••••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:9404b73c-0792-faf8-6160-bd5f53e259ac
First observed: Sep 12, 2002
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.