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

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RIA / WealthAdvisorPersonal Financial Specialistdual registered (broker-dealer)42 years in industry

G••• K••••• M••••••••

Advisor at C••••• I••••••••• A••••••• L••

SACRAMENTO, CA

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Search this name across graphsid dfx:ria:975abbb2-6fe0-b8e5-91fe-09c08c43ec1f

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 11:01 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: May 9, 2007 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: C••••• I••••••••• A••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Sep 1, 1984earliest registration or exam on IAPD
Years in industry: 42derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
C••••• I••••••••• A••••••• L••	Bd affiliated wealth	Jun 29, 2023	n/a	yes	SACRAMENTO, CA	Current employment
Q•••••• A•••• M••••••••• I•••	Former SEC adviser	Sep 17, 2012	Sep 25, 2015	no

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
Q•••••• A•••• M••••••••• I•••	C••••• I••••••••• A••••••• L••	Sep 25, 2015	Jun 29, 2023	2,834	Firm change after gap	Other
W••••••• F•••••••• S•••••••• I•••	Q•••••• A•••• M••••••••• I•••	Sep 25, 2012

Relationships

Registered with (5)

→ C••••• I••••••••• A••••••• L••Registered adviserregistration: current employment
Jun 29, 2023 to presentfactForm ADV
→ Q•••••• A•••• M••••••••• I•••Registered adviserregistration: previous registration
Sep 17, 2012 to Sep 25, 2015factForm ADV
→ W••••••• F•••••••• S•••••••• I•••Registered adviserregistration: previous registration
Jun 8, 2010 to Sep 25, 2012factForm ADV
→ I••••••••• F•••••••• G••••• L••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:975abbb2-6fe0-b8e5-91fe-09c08c43ec1f
First observed: May 9, 2007
Last observed: Sep 14, 2026 7 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.