DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)24 years in industry

K•••••••• L•• C•••••••

Advisor at A••••••••• F•••••••• S•••••••• L••

REDWOOD CITY, CA | Fremont, CA

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Search this name across graphsid dfx:ria:966a14a6-f92a-d0b3-7113-ec48c9be7ed8

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:51 AM UTC and rebuilt at most every 15 minutes.

Relationships: 1
Dated events: 0
On other graphs: 0
Observed: Jan 1, 2002 to Sep 15, 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: A••••••••• F•••••••• S•••••••• L••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Jan 1, 2002earliest registration or exam on IAPD
Years in industry: 24derivedfrom the industry start date
Years at current firm: 24derivedfrom the current registration's begin date
Current registrations: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
A••••••••• F•••••••• S•••••••• L••	National bd RIA	Mar 8, 2002	n/a	yes	REDWOOD CITY, CA\|Fremont, CA	Current employment

Relationships

Registered with (1)

→ A••••••••• F•••••••• S•••••••• L••Registered adviserregistration: current employment
Mar 8, 2002 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:966a14a6-f92a-d0b3-7113-ec48c9be7ed8
First observed: Jan 1, 2002
Last observed: Sep 15, 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.