DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Planner27 years in industry

K••• L•••• D••••••••

Advisor at M••••• G••••• A••••••• I•••

Newport Beach, CA

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Search this name across graphsid dfx:ria:9a925fcd-11d4-4c7e-f1ca-9e2e78a0ba6b

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 3:56 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Jun 14, 2011 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: M••••• G••••• A••••••• I•••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Nov 16, 1998earliest registration or exam on IAPD
Years in industry: 27derivedfrom the industry start date
Years at current firm: 9derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
M••••• G••••• A••••••• I•••	Independent wealth	May 18, 2017	n/a	yes	Newport Beach, CA	Current employment
D•••••••• W••••• A•••••••• I•••	Former SEC adviser	Jun 14, 2011	Oct 12, 2017	no	NEWPORT BEACH, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
D•••••••• W••••• A•••••••• I•••	M••••• G••••• A••••••• I•••	Oct 12, 2017	May 18, 2017	-147	Firm change after gap	Other

Team moves

••• Locked

Team	Left	Joined	From	Kind
108114:147363:CA:2017-10-12	Oct 12, 2017	May 18, 2017	NEWPORT BEACH, CA	Firm change after gap

Relationships

Registered with (2)

→ M••••• G••••• A••••••• I•••Registered adviserregistration: current employment
May 18, 2017 to presentfactForm ADV
→ D•••••••• W••••• A•••••••• I•••Registered adviserregistration: previous registration
Jun 14, 2011 to Oct 12, 2017factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:9a925fcd-11d4-4c7e-f1ca-9e2e78a0ba6b
First observed: Jun 14, 2011
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.