DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Planner46 years in industry

C•••••• K•••• G•••

Advisor at W••••••••• A••••••• P••••••• L••

WEST CHESTER, PA | MIDWAY, UT

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Search this name across graphsid dfx:ria:941896e5-0158-48e9-585d-4908e8308f50

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:32 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Jul 25, 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: W••••••••• A••••••• P••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Apr 1, 1980earliest registration or exam on IAPD
Years in industry: 46derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
W••••••••• A••••••• P••••••• L••	Bd affiliated wealth	Aug 5, 2024	n/a	yes	WEST CHESTER, PA\|MIDWAY, UT	Current employment
W••••••••• A•••••••• I•••	Former SEC adviser	Jan 29, 2010	Mar 18, 2015	no	WESTLAKE VILLAGE, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
O•••• W•••••• I•••	W••••••••• A•••••••• I•••	Aug 8, 2024	Aug 14, 2008	-5,838	Firm change after gap	Other
W••••••••• A•••••••• I•••	W••••••••• A••••••• P••••••• L••	Mar 18, 2015	Aug 5, 2024

Relationships

Registered with (4)

→ W••••••••• A••••••• P••••••• L••Registered adviserregistration: current employment
Aug 5, 2024 to presentfactForm ADV
→ O•••• W•••••• I•••Registered adviserregistration: previous registration
Dec 10, 2007 to Aug 8, 2024factForm ADV
→ W••••••••• A•••••••• I•••Registered adviserregistration: previous registration
Jan 29, 2010 to Mar 18, 2015factForm ADV
→ G••• F•••••••• A•••••••••Registered adviser

Dated events

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

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:941896e5-0158-48e9-585d-4908e8308f50
First observed: Jul 25, 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.